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JC

Janelle M. Casas

Some features on this profile are disabled
CRD#: 4835995
JC

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.

Janelle Marie Casas was a registered financial professional .

Janelle is a previously registered financial professional and started their career in finance in 2004. Janelle had worked at 3 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 27, 2007 - May 23, 2014

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
SAN FRANCISCO, CA
Past

December 11, 2004 - October 13, 2006

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
IRVINE, CA
Past

September 23, 2004 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA

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: 10/7/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/22/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FR
FIRST REPUBLIC SECURITIES COMPANY, LLC
F.R. SECURITIES COMPANY, L.L.C. | GRAND EAGLE INSURANCE SERVICES, LLC | GRAND EAGLE INSURANCE SERVICES, INC. | GRAND EAGLE INSURANCE SERVICES | GRAND EAGLE INSURANCE GROUP, LLC | FIRST REPUBLIC SECURITIES COMPANY, LLC | FIRST REPUBLIC PRIVATE WEALTH MANAGEMENT

CRD#: 105108 / SEC#: 801-71759, 8-52973

BD
Terminated by SEC on 12/04/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 07/07/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FRSC ADV PART II (3/28/2014)

Direct owners and executive officers

NamePositionCRD#
JP MORGAN CHASE BANK, NATIONAL ASSOCIATIONSTOCKHOLDER
BURGE, ANDREW CDIRECTOR5619554
GENTIN, NICOLAS ROBINDIRECTOR2723366
HERRON, MICHAEL ROBERTOFFICER2692410
HONG, AMYDIRECTOR4259934
LEE, HYUNJOOFINOP7074361
MARTINEZ, MARK CAESARREGISTERED OPTIONS PRINCIPAL (ROP)2870632
TATEOSIAN, DAVID CHARLESPRESIDENT AND DIRECTOR1605404
THORNTON, ROBERT LEE JRDIRECTOR1412949
WEITGENANT, DAVID ANDREWCHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL2096196

Disclosures

Regulatory Event2
Arbitration1

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

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

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