Individual Firm
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JANIE LYNN NELSON
JANE L MCGARRY, JANIE L MCGARRY, JANIE L NELSON, JANIE LYNN VOITA
CRD#: 2146547
IA
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BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 2480 E. River Road
Tucson, AZ 85718
Tucson, AZ 85718
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5/17/2010
Employment Separation After Allegations
State Registrations
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Arizona 10/16/2019
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Michigan 10/16/2019
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Arizona 10/17/2019
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Nevada 10/16/2019
B
California 10/16/2019
B
New Mexico 10/16/2019
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Colorado 10/16/2019
B
New York 10/16/2019
B
Idaho 9/3/2020
B
Ohio 1/17/2025
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Illinois 1/2/2025
B
Texas 10/16/2019
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Maine 1/6/2025
B
Virginia 10/16/2019
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Massachusetts 3/5/2021
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Washington 10/16/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/17/2019
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Registered with this firm since 10/16/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/27/2012 - 10/17/2019 | TUCSON, AZ | |
B | 04/13/2012 - 10/17/2019 | TUCSON, AZ | |
IA | 09/21/2011 - 02/09/2012 | PHOENIX, AZ | |
B | 08/22/2011 - 02/09/2012 | PHOENIX, AZ | |
IA | 10/21/2005 - 06/16/2010 | SCOTTSDALE, AZ | |
B | 10/21/2005 - 06/16/2010 | SCOTTSDALE, AZ | |
IA | 01/23/2001 - 09/20/2005 | FRESNO, CA | |
B | 04/06/2000 - 09/20/2005 | PURCHASE, NY | |
B | 07/21/1998 - 03/21/2000 | NEW YORK, NY | |
B | 04/04/1997 - 07/09/1998 | PURCHASE, NY |
SCOTTSDALE, AZ
10/21/2005 - 06/16/2010
SCOTTSDALE, AZ
10/21/2005 - 06/16/2010
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.