Jan L. Zdrojek
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.
Jan Lawrence Zdrojek was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1969. Jan had worked at 7 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 1991 - January 4, 1994
LISS FINANCIAL SERVICES
December 18, 1985 - June 5, 1986
A. G. EDWARDS & SONS, INC.
August 17, 1979 - November 26, 1979
LOEB PARTNERS
November 26, 1978 - May 16, 1985
LEHMAN BROTHERS INC.
January 19, 1972 - July 1, 1979
FREDERICK & COMPANY, INC.
March 2, 1971 - April 17, 1972
FIRST MIDWEST INVESTMENT CORP.
December 9, 1969 - April 30, 1971
DUPONT WALSTON, INCORPORATED
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: 5/29/1968
Registered Representative ExaminationCurrent Firm
LISS FINANCIAL SERVICES
CRD#: 21950 / SEC#: , 8-39344
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
