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Detailed Report
JENNIFER LING
JENNIFER W LI, JENNIFER W LING
CRD#: 3277203
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200020022004200620082010201220142016201820202022IAGPS CAPITAL MANAGEMENT, LLC (CRD# 136330)2019 - 2020 (1 year)IAGPS CAPITAL MANAGEMENT, LLC (CRD# 136330)2016 - 2018 (2 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2005 - 2011 (5 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2001 - 2005 (3 years)
Disclosure(s)
View By:
6/30/2022
Customer Dispute
Settled
3/17/2021
Customer Dispute
Settled
3/2/2021
Customer Dispute
Settled
2/12/2020
Customer Dispute
Settled
2/15/2019
Customer Dispute
Settled
9/4/2018
Customer Dispute
Settled
11/7/2017
Customer Dispute
Settled
6/9/2016
Customer Dispute
Settled
10/4/1999
Criminal
Final Disposition
Previous Registration(s)
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 02/26/2019 - 05/14/2020 GPS CAPITAL MANAGEMENT, LLC (CRD#:136330) BURLINGAME, CA
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 02/25/2016 - 12/31/2018 GPS CAPITAL MANAGEMENT, LLC (CRD#:136330) SAN RAMON, CA
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 08/19/2005 - 04/05/2011 STRATEGIC ADVISERS, INC. (CRD#:104555) SUNNYVALE, CA
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 08/23/2001 - 04/13/2005 CHARLES SCHWAB & CO., INC. (CRD#:5393) MILPITAS, CA
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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
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.