Jane J. Mao
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.
Jane Junzhu Mao, CFP®, who also goes by Jane J Mao, Junzhu Mao, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 2007. Jane had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2017 - November 1, 2019
CONCORD WEALTH BROKERAGE, INC.
November 3, 2017 - January 24, 2020
CONCORD WEALTH PARTNERS
August 31, 2017 - November 7, 2017
GROVE POINT INVESTMENTS, LLC
March 20, 2017 - November 7, 2017
GROVE POINT INVESTMENTS, LLC
June 18, 2012 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
May 15, 2007 - December 15, 2008
BANC OF AMERICA 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
Current Firm
CONCORD WEALTH BROKERAGE, INC.
CRD#: 24999 / SEC#: , 8-41511
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOPEZ WEALTH MANAGEMENT GROUP, LLC | SOLE MEMBER | |
| LOPEZ, JONATHAN WADE | PRESIDENT & CEO | 1534582 |
| WEATHERLY, JONATHAN ROBERT | CHIEF COMPLIANCE OFFICER |
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.
