Jacquelyn M. Engel-cardenas
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.
Jacquelyn Marie Engel-cardenas, who also goes by Jackie Marie Cardenas, Jackie Marie Engel, Jackie Engel, Jacquelyn Marie Engel, was a registered financial professional .
Jacquelyn is a previously registered financial professional and started their career in finance in 1998. Jacquelyn had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, 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
February 3, 2014 - April 13, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 1, 2012 - July 9, 2013
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 1, 2004 - April 18, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 21, 2003 - October 1, 2004
MORGAN STANLEY DW INC.
November 26, 2002 - April 9, 2003
MORGAN STANLEY DW INC.
August 22, 2002 - October 1, 2004
MORGAN STANLEY DW INC.
November 11, 1998 - August 2, 2002
JANUS HENDERSON DISTRIBUTORS US LLC
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
