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JS

Jennifer A. Stephenson

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CRD#: 4156971
JS

Professional summary

Jennifer Anne Stephenson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jennifer is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Jennifer had worked at 2 firms, which includes PFIC SECURITIES CORPORATION, RAYMOND JAMES & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Anne Merrell | Jennifer Anne Snyder | Jennifer Snyder

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 16, 2003 - July 16, 2004

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

January 14, 2002 - March 28, 2003

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2002
General Securities Representative Examination

Current Firm

PS
PFIC SECURITIES CORPORATION
PFIC SECURITIES CORPORATION | PROGRESSIVE FUNDS CORPORATION

CRD#: 34941 / SEC#: , 8-46616

BD
Terminated by SEC on 10/14/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Tennessee since 03/30/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PFIC CORPORATIONSHAREHOLDER
BARKLEY, JOSEPH CLARENCEDIRECTOR1373033
CASHION, TED HURLEYDIRECTOR1562650
HEARSEY, JAIME LAVENDERPRESIDENT/CHIEF COMPLIANCE OFFICER2528285
MITCHELL, WILLIAM LANDRETHEXECUTIVE VICE PRESIDENT/DIRECTOR2549067
RION, TRACY MILLERFINOP4212238

Disclosures

Arbitration2

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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Company Information

PFIC SECURITIES CORPORATION

CRD#: 34941

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