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JF

Jeanette Ferrara

THORNBURG SECURITIES LLC
Santa Fe, NM 87506
Some features on this profile are disabled
CRD#: 5182779
JF

Professional summary

Jeanette Ferrara is a registered financial professional currently at THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Jeanette is registered as a RR (Registered Representative) and started their career in finance in 2016. Jeanette has worked at 1 firm and has passed the Series 63, SIE, Series 7 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) - BD

Click below to view Jeanette Ferrara's CRS (Customer Relationship Summary).

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

Current

March 10, 2016 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Mexico
(5/6/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/10/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THORNBURG SECURITIES LLC
THORNBURG SECURITIES CORPORATION | THORNBURG SECURITIES LLC

CRD#: 14857 / SEC#: , 8-31249

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

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Phone number
(505) 984-0200
Established
Delaware since 12/28/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THORNBURG INVESTMENT MANAGEMENT INCSOLE MEMBER106357
BHATT, NIMISH SANJAYTREASURER, PRINCIPAL FINANCIAL OFFICER2789977
BROWNELL, JESSE RYANGLOBAL HEAD OF DISTRIBUTION5511918
CALLOW, AMYSECRETARY
HOLLOWAY, CURTIS EDWARDPRINCIPAL OPERATIONS OFFICER5130594
OLEXSAK, RONALDCHIEF COMPLIANCE OFFICER2858575

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

THORNBURG SECURITIES LLC

CRD#: 14857Santa Fe, NM 87506

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