Jessie D. Willis
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.
Jessie Douglas Willis was a registered financial professional .
Jessie is a previously registered financial professional and started their career in finance in 1999. Jessie had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2012 - August 30, 2013
INVESTMENT CENTERS OF AMERICA, INC.
April 23, 2012 - August 30, 2013
INVESTMENT CENTERS OF AMERICA, INC.
May 25, 2010 - April 4, 2012
LPL FINANCIAL LLC
May 24, 2010 - April 4, 2012
LPL FINANCIAL LLC
August 15, 2007 - May 21, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 17, 2006 - May 21, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
March 31, 2006 - November 6, 2006
CUNA BROKERAGE SERVICES, INC.
January 13, 2006 - November 6, 2006
CUNA BROKERAGE SERVICES, INC.
November 2, 2000 - December 20, 2005
WELLS FARGO INVESTMENTS, LLC
July 14, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 13, 2000 - November 5, 2001
WELLS FARGO SECURITIES INC.
January 8, 2000 - July 10, 2000
IDS LIFE INSURANCE COMPANY
January 8, 2000 - July 10, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
September 2, 1999 - December 23, 1999
PRINCIPAL 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
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
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.
