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AJ

Angela M. Jantz

Some features on this profile are disabled
CRD#: 5374016
AJ

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.

Angela Mary Jantz, who also goes by Angela Jantz, was a registered financial professional .

Angela is a previously registered financial professional and started their career in finance in 2007. Angela had worked at 4 firms and has passed the Series 66, Series 99TO, Series 7TO, Series 79TO, SIE, Series 79, Series 7 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Angela Jantz

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

March 15, 2016 - January 5, 2021

FALKENBERG CAPITAL CORPORATION

BD
CRD#: 103819
DENVER, CO
Past

August 8, 2013 - March 7, 2016

MORGAN STANLEY

BD
CRD#: 149777
GREENWOOD VILLAGE, CO
Past

August 5, 2013 - March 7, 2016

MORGAN STANLEY

RIA
CRD#: 149777
GREENWOOD VILLAGE, CO
Past

October 15, 2010 - September 23, 2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

October 8, 2010 - September 23, 2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
DENVER, CO
Past

August 17, 2007 - May 19, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
DENVER, CO
Past

August 3, 2007 - May 19, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
DENVER, CO

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
IAR
Series 66
Date: 9/5/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/23/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/22/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/6/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/22/2022
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

FC
FALKENBERG CAPITAL CORPORATION
FALKENBERG CAPITAL CORPORATION

CRD#: 103819 / SEC#: , 8-52300

BD
Terminated by SEC on 01/16/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 12/06/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FALKENBERG, BRUCE ROBERTPRESIDENT/CEO/COO/CLO/DIRECTOR/CHIEF COMPLIANCE OFFICER4127896
JANTZ, ANGELA MARYFINANCIAL AND OPERATIONAL PRINCIPAL5374016

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

FALKENBERG CAPITAL CORPORATION

CRD#: 103819

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