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GJ

Gretchen E. Jenkins

Some features on this profile are disabled
CRD#: 4779062
GJ

Professional summary

Gretchen Elisabeth Jenkins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gretchen is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Gretchen had worked at 6 firms, which includes ESL INVESTMENT SERVICES LLC, LPL FINANCIAL LLC, KEY INVESTMENT SERVICES LLC, HSBC SECURITIES (USA) INC., FIVE STAR INVESTMENT SERVICES INC., CHASE INVESTMENT SERVICES CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gretchen Elisabeth Ziifle

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

February 5, 2016 - March 14, 2018

ESL INVESTMENT SERVICES, LLC

BD
CRD#: 139176
ROCHESTER, NY
Past

January 11, 2016 - April 13, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
ROCHESTER, NY
Past

July 11, 2012 - July 15, 2015

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
FAIRPORT, NY
Past

April 4, 2012 - July 11, 2012

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
FAIRPORT, NY
Past

September 24, 2009 - January 11, 2012

FIVE STAR INVESTMENT SERVICES, INC.

BD
CRD#: 101840
WARSAW, NY
Past

January 4, 2005 - August 27, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
ROCHESTER, NY

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: 1/21/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/3/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EI
ESL INVESTMENT SERVICES, LLC
ESL INVESTMENT SERVICES, LLC

CRD#: 139176 / SEC#: , 8-67195

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
225 Chestnut Street, Rochester, NY 14604
Mailing Address
225 Chestnut Street, Rochester, NY 14604
Phone number
(585) 339-4475
Established
New York since 04/24/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ESL HOLDCO LLCOWNER
DONAHOE, JOELLE LAURENCCO, AMLCO AND COMPLIANCE MANAGER2678810
IACOBELLI, LEOPRESIDENT/COO/EXECUTIVE REP1717602
ROCHE, PASCAL AFINOP/ PFO/ POO5920968

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.

Company Information

ESL INVESTMENT SERVICES, LLC

CRD#: 139176

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