Jason W. Pelletier
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.
Jason Walker Pelletier, who also goes by Jason W Pelletier, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2011. Jason had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2017 - June 24, 2019
HANCOCK WHITNEY INVESTMENT SERVICES INC.
April 25, 2017 - June 21, 2019
HANCOCK WHITNEY INVESTMENT SERVICES INC.
January 21, 2016 - September 7, 2016
HANCOCK WHITNEY INVESTMENT SERVICES INC.
January 20, 2016 - September 7, 2016
HANCOCK WHITNEY INVESTMENT SERVICES INC.
July 31, 2015 - January 21, 2016
MSI FINANCIAL SERVICES, INC.
July 30, 2015 - January 21, 2016
MSI FINANCIAL SERVICES, INC.
February 17, 2015 - August 3, 2015
STATE FARM VP MANAGEMENT CORP.
January 19, 2012 - January 15, 2015
MORGAN STANLEY
January 18, 2012 - January 15, 2015
MORGAN STANLEY
January 6, 2011 - May 16, 2011
J.P. TURNER & COMPANY, L.L.C.
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
