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RJ

Rachel M. Jennings

M&T SECURITIES
Rochester, NY 14604
Some features on this profile are disabled
CRD#: 3265541
RJ

Professional summary

Rachel Menn Jennings, who also goes by Rachel Marie Jennings, Rachel Marie Menn, is a registered financial professional currently at M&T SECURITIES, INC. located in Rochester, New York.

Rachel is registered as a RR (Registered Representative) and started their career in finance in 2001. Rachel has worked at 5 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rachel Marie Jennings | Rachel Marie Menn

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) - BD

Click below to view Rachel Menn Jennings's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 18, 2022 - Present

M&T SECURITIES, INC.

Office #1: Investment Banking 180 South Clinton Ave, Rochester, NY 14604
BD
CRD#: 17358
Rochester, NY
Past

October 19, 2016 - May 6, 2022

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Alexandria, VA
Past

March 6, 2012 - September 30, 2016

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
ARLINGTON, VA
Past

August 5, 2010 - February 7, 2012

COMPASS POINT RESEARCH & TRADING, LLC

BD
CRD#: 126258
WASHINGTON, DC
Past

January 26, 2001 - August 6, 2010

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/23/2024)
RR
Colorado
(1/23/2024)
RR
Connecticut
(1/23/2024)
RR
Delaware
(1/23/2024)
RR
District of Columbia
(1/23/2024)
RR
Florida
(1/23/2024)
RR
Georgia
(1/23/2024)
RR
Indiana
(1/23/2024)
RR
Maine
(1/23/2024)
RR
Maryland
(10/18/2022)
RR
Massachusetts
(1/23/2024)
RR
Nevada
(1/23/2024)
RR
New Hampshire
(1/23/2024)
RR
New Jersey
(1/23/2024)
RR
New York
(1/23/2024)
RR
North Carolina
(1/23/2024)
RR
Ohio
(1/23/2024)
RR
Pennsylvania
(1/23/2024)
RR
Puerto Rico
(1/23/2024)
RR
Rhode Island
(1/23/2024)
RR
Texas
(1/23/2024)
RR
Vermont
(1/23/2024)
RR
Virginia
(1/23/2024)
RR
Washington
(1/23/2024)
RR
West Virginia
(1/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/29/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
M&T SECURITIES, INC.
M&T DISCOUNT BROKERAGE SERVICES, INC. | M&T SECURITIES, INC.

CRD#: 17358 / SEC#: , 8-35185

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1 Light Street Suite 2000, Buffalo, NY 14202
Mailing Address
1 Light Street, Baltimore, MD 21202
Phone number
(410) 244-4307
Established
New York since 11/13/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
901

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
M&T BANK CORPORATIONSHAREHOLDER
BRETT, MICHELLE THERESEDIRECTOR7965730
COLLINS, ATWOOD IIIDIRECTOR5634496
DETTMANN, BRIAN JOHNDIRECTOR4659106
GIORGIO, HUGH EVANSDIRECTOR7535939
HOGAN, PAUL JOSEPHDIRECTOR2849151
NEWCOMB, MICHAEL FRANCIS IIDIRECTOR2097837
PETRUS, TANYA MARIEFINOP4848556
REILLY, MICHAEL MACKAYDIRECTOR4575618
REMORENKO, ALEXSANDRACHIEF COMPLIANCE OFFICER5699601
REMORENKO, ALEXSANDRAPRESIDENT5699601

Disclosures

Regulatory Event6
Arbitration1
Bond1

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

M&T SECURITIES, INC.

CRD#: 17358Rochester, NY 14604

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