Audrey J. Cawman
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.
Audrey J Cawman, who also goes by Audrey Jane Cawman, was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 2003. Audrey had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2015 - May 18, 2017
JEFFERSON NATIONAL SECURITIES CORPORATION
March 18, 2014 - January 28, 2015
HABERER REGISTERED INVESTMENT ADVISOR INC
October 24, 2013 - March 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2013 - March 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2012 - September 27, 2013
FIFTH THIRD SECURITIES, INC.
May 18, 2012 - September 27, 2013
FIFTH THIRD SECURITIES, INC.
June 14, 2010 - September 16, 2011
TRUIST INVESTMENT SERVICES, INC.
March 24, 2010 - September 16, 2011
TRUIST INVESTMENT SERVICES, INC.
January 19, 2010 - March 10, 2010
EDWARD JONES
February 9, 2006 - September 18, 2009
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 25, 2003 - February 2, 2006
FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JEFFERSON NATIONAL SECURITIES CORPORATION
CRD#: 47582 / SEC#: , 8-51845
Contact information
FINRA licenses (1 States and Territories)
Documents
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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