Janice G. Cartwright
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 Gibson Cartwright, who also goes by Janice Kay Cartwright, Janice Kay Gibson, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1977. Janice had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1 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
February 16, 2017 - December 23, 2024
CLG LLC
March 31, 1998 - November 18, 2019
CETERA WEALTH SERVICES, LLC
July 13, 1983 - November 18, 2019
CETERA WEALTH SERVICES, LLC
October 13, 1981 - July 7, 1983
FSC SECURITIES CORPORATION
April 12, 1978 - July 12, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
September 7, 1977 - October 30, 1980
INDEPENDENT SECURITIES CORPORATION
Primary Firm SEC Registration
CLG LLC
CRD#: 282605 / SEC#: 801-108414
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
Series 1
Date: 8/29/1977
Registered Representative ExaminationCurrent Firm
CLG LLC
CRD#: 282605 / SEC#: 801-108414
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,539 |
| AUM (Assets Under Management) | $ 953,822,025 |
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.
