Janet D. Simpson
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.
Janet Denise Simpson, who also goes by Janet D Brasher, Janet Denise Brasher, Janet Denise Burgoyne, Janet D Sharp, Janet Denise Sharp, Janet D Simpson, Janet Simpson, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 2004. Janet had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2023 - July 1, 2024
VANGUARD MARKETING CORPORATION
September 22, 2021 - April 21, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 22, 2021 - April 21, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2018 - February 9, 2021
ROBERT W. BAIRD & CO. INCORPORATED
November 1, 2018 - February 9, 2021
ROBERT W. BAIRD & CO. INCORPORATED
August 6, 2014 - October 22, 2018
1ST GLOBAL ADVISORS INC
August 6, 2014 - October 23, 2018
1ST GLOBAL CAPITAL CORP.
March 20, 2012 - July 29, 2014
KESTRA INVESTMENT SERVICES, LLC
March 20, 2012 - July 29, 2014
KESTRA INVESTMENT SERVICES, LLC
January 11, 2011 - February 7, 2012
VSR FINANCIAL SERVICES, INC.
January 11, 2011 - February 7, 2012
VSR FINANCIAL SERVICES, INC.
June 1, 2010 - October 25, 2010
OPPENHEIMER & CO. INC.
June 1, 2010 - October 25, 2010
OPPENHEIMER & CO. INC.
June 1, 2009 - April 28, 2010
MORGAN STANLEY
June 1, 2009 - April 28, 2010
MORGAN STANLEY
July 31, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 9, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
