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JP

Jeffrey B. Pierce

Some features on this profile are disabled
CRD#: 3190666
JP

Professional summary

Jeffrey B. Pierce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Jeffrey had worked at 6 firms, which includes MIDAMERICA FINANCIAL SERVICES INC., OSAIC SERVICES INC., INVESTORS CAPITAL CORP., IFMG SECURITIES INC., FIS SECURITIES INC., BANKBOSTON INVESTOR SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey P Walles | Jeffrey Pierce Walles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 15, 2009 - December 2, 2013

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
QUINCY, MA
Past

February 18, 2009 - June 19, 2009

OSAIC SERVICES, INC.

BD
CRD#: 133763
QUINCY, MA
Past

June 12, 2008 - September 26, 2008

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
QUINCY, MA
Past

October 5, 2000 - May 15, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
SOUTH BOSTON, MA
Past

April 4, 2000 - September 14, 2000

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA
Past

March 12, 1999 - April 3, 2000

BANKBOSTON INVESTOR SERVICES, INC.

BD
CRD#: 36369
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/11/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MF
MIDAMERICA FINANCIAL SERVICES, INC.
MIDAMERICA FINANCIAL SERVICES, INC. | STEELE INVESTMENT SERVICES, INC.

CRD#: 47351 / SEC#: , 8-51758

BD
Terminated by SEC on 01/05/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 04/05/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S & M, LTD.SHAREHOLDER
DEEMER, BRUCE HARLANSECRETARY4590562
KELLER, MATTHEW BRIANPRESIDENT, CHIEF COMPLIANCE OFFICER5582015

Disclosures

Regulatory Event5

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.

Company Information

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

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