Carol J. Jeppesen
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.
Carol Joan Jeppesen was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1972. Carol had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 1, Series 27, Series 53, Series 4, F04 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1993 - November 18, 2009
SECURITIES AMERICA, INC.
April 4, 1991 - September 1, 1993
FARNAM STREET BROKERAGE COMPANY
March 29, 1990 - November 21, 1990
F.J. GARBER & CO.
October 11, 1988 - March 14, 1989
F.J. GARBER & CO.
August 4, 1988 - September 12, 1988
ACAP FINANCIAL INC.
August 24, 1987 - June 23, 1988
SECURITIES TRANSACTIONS, INCORPORATED
October 12, 1980 - January 5, 1987
ACCUTRADE INC.
March 20, 1975 - June 15, 1987
TD AMERITRADE CLEARING, INC.
July 18, 1972 - March 30, 1975
RAHEL KNACK & COMPANY
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
Series 1
Date: 7/13/1972
Registered Representative ExaminationF04
Date: 3/9/1981
Financial Principal ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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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