Joann Mckenzie
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.
Joann Mckenzie, who also goes by Joann Allen, Joann Lay, was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 2000. Joann had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - December 31, 2016
THE LEADERS GROUP, INC.
December 19, 2013 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
December 19, 2013 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
October 19, 2012 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
October 9, 2012 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
February 2, 2011 - October 8, 2012
TLG ADVISORS, INC.
February 2, 2011 - October 8, 2012
THE LEADERS GROUP, INC.
August 15, 2006 - February 2, 2011
M HOLDINGS SECURITIES, INC.
April 7, 2006 - February 2, 2011
M HOLDINGS SECURITIES, INC.
February 23, 2004 - March 15, 2006
NYLIFE SECURITIES LLC
August 15, 2000 - January 16, 2001
KERSHNER TRADING GROUP, LLC
July 26, 2000 - January 16, 2001
PROTRADER SECURITIES L.P.
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
Series 55
Date: 9/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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