Jasmine E. Ards
Professional summary
Jasmine Enid Ards, who also goes by Jasmine Enid Lecky, Jasmine Lecky, is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and SECURITIES MANAGEMENT & RESEARCH, INC. located in Cedar Rapids, Iowa.
Jasmine is registered as a RR (Registered Representative) and started their career in finance in 2008. Jasmine has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jasmine Enid Ards's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2021 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340April 30, 2021 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100 Box 11606, Cedar Rapids, IA 52410-1606March 25, 2013 - April 27, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 17, 2011 - March 27, 2013
J.P. TURNER & COMPANY, L.L.C.
March 28, 2008 - October 7, 2010
E*TRADE 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
(4/30/2021)
(4/30/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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