Jennifer Ling
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.
Jennifer Ling, who also goes by Jennifer W Li, Jennifer W Ling, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2000. Jennifer had worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, 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
February 26, 2019 - May 14, 2020
GPS CAPITAL MANAGEMENT, LLC
February 25, 2016 - December 31, 2018
GPS CAPITAL MANAGEMENT, LLC
May 19, 2015 - July 26, 2017
AXIOM CAPITAL MANAGEMENT, INC.
August 19, 2005 - April 5, 2011
STRATEGIC ADVISERS LLC
June 21, 2005 - April 4, 2011
FIDELITY BROKERAGE SERVICES LLC
August 23, 2001 - April 13, 2005
CHARLES SCHWAB & CO., INC.
February 29, 2000 - April 13, 2005
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GPS CAPITAL MANAGEMENT, LLC
CRD#: 136330 / SEC#: 801-64685
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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