Julianne C. Iwersen-niemann
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.
Julianne Catherine Iwersen-niemann, who also goes by Julianne C Iwersen, Julianne Catherine Iwersen, Julianne Catherine Iwersenniemann, Juli Niemann, Julianne Niemann, was a registered financial professional .
Julianne is a previously registered financial professional and started their career in finance in 1978. Julianne had worked at 7 firms and has passed the Series 63, SIE, Series 16 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
February 17, 2006 - December 31, 2024
SMITH, MOORE & CO.
February 17, 2006 - December 31, 2024
SMITH, MOORE & CO.
February 1, 2001 - February 21, 2006
R.T. JONES CAPITAL EQUITIES, INC.
May 15, 2000 - February 21, 2006
R.T. JONES CAPITAL EQUITIES, INC.
August 16, 1990 - May 15, 2000
HUNTLEIGH SECURITIES CORPORATION
November 18, 1988 - August 8, 1990
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
August 11, 1987 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
December 1, 1978 - August 17, 1987
EDWARD JONES
Primary Firm SEC Registration
SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
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
SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
Contact information
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCH, STEWART JAMES JR | PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR | 2537447 |
| SCHULTE, TIMOTHY EUGENE | CHAIRMAN OF THE BOARD, DIRECTOR | 1869986 |
| RHYNER, RANDALL PAUL | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2443274 |
| SCHMIDT, KENT CHARLES | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2153325 |
| BRAGG, MATTHEW EDWARD | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 2279799 |
| BRODY, AMY LYNN | CHIEF FINANCIAL OFFICER, FINOP | 6486826 |
| KRAFT, BARBARA ANN | CHIEF OPERATING OFFICER | 1225082 |
| MORAN, DANIEL PATRICK | CHIEF TECHNOLOGY OFFICER | 2685632 |
| PERRYMAN, JARET DALIN | CHIEF COMPLIANCE OFFICER | 3034594 |
Regulatory assets under management
| Total Number of Accounts | 5,353 |
| AUM (Assets Under Management) | $ 2,008,286,156 |
Disclosures
| Regulatory Event | 7 |
| 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.
