Jennifer RauCRD Number: 5313772
Current Firm: H.d. Vest Advisory Services, Inc.
Jennifer Rau (CRD# 5313772) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Rocklin, CA and has over 9 years of experience in the finance industry.
Clarion Advisors Inc.
Wells Fargo Advisors, LLC
Adams Ashby Financial Advisors
|H.d. Vest Advisory Services||Petaluma, CA||Sep 2011 - Current||5|
|Accounting & Tax Services, Inc.||Petaluma, CA||Apr 2008 - Current||8|
|H D Vest Investment Services||Leesburg, VA||Mar 2007 - Current||10|
|Tax & Acct Svc, LLC||Leesburg, VA||Mar 2004 - Sep 2007||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2007|
|S65||NASAA Investment Advisors Law Examination||Oct 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management9,187MILLIONS
Total Number of Accounts50,531ACCOUNTS
Average Account Value$181,805
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV