Jan L. Sheppard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jan Leslie Sheppard, who also goes by Jan Leslie Rose, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 2000. Jan had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2005 - December 2, 2005
CHARTER ONE SECURITIES, INC.
February 1, 2000 - September 14, 2020
CITIZENS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARTER ONE SECURITIES, INC.
CRD#: 13373 / SEC#: , 8-29142
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARTER ONE BANK, N.A. | SHAREHOLDER | |
| ANGUISH, JOSEPH EDWARD | CHIEF COMPLIANCE OFFICER | 1263738 |
| EISENHARDT, HOWARD | SECRETARY | |
| GUILFOYLE, KATHLEEN MARGARET | CHIEF FINANCIAL OFFICER | 4728634 |
| HOLLISTER, THOMAS JAMES | CHAIRMAN | |
| KOPP, BRADFORD BURNETT | DIRECTOR | 860833 |
| MILLARD, MICHAEL GERARD | CHIEF EXECUTIVE OFFICER / PRESIDENT | 722703 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
