Janice L. Piechowiak
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.
Janice Lynn Piechowiak, who also goes by Janice Lynn Nedal, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1976. Janice had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2008 - April 1, 2016
INVEST FINANCIAL CORPORATION
August 26, 2008 - April 1, 2016
INVEST FINANCIAL CORPORATION
January 6, 2003 - April 10, 2008
GUNNALLEN FINANCIAL, INC
January 2, 2003 - April 10, 2008
GUNNALLEN FINANCIAL, INC
January 2, 2001 - January 27, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 2, 2001 - January 27, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 11, 1999 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
January 11, 1996 - June 16, 1999
BARRON CHASE SECURITIES, INC.
May 30, 1995 - January 9, 1996
HD BROUS & CO., INC.
September 29, 1986 - October 28, 1987
BLINDER, ROBINSON & CO., INC.
January 2, 1976 - June 1, 1977
DONALD SHELDON & CO., INC.
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
