Jennifer J. Baron-ortega
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 Joan Baron-ortega, who also goes by Jennifer Joan Baron, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2004. Jennifer had worked at 2 firms and has passed the Series 7TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2008 - February 10, 2021
BOSTON PARTNERS SECURITIES, L.L.C.
May 3, 2004 - October 18, 2006
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
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 7TO
Date: 3/2/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/2/2024
Operations Professional ExaminationCurrent Firm
BOSTON PARTNERS SECURITIES, L.L.C.
CRD#: 2998 / SEC#: , 8-15648
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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