Neil Michael Janis

Current Employers

Janis Financial, Llc

Oxnard, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-11-25
WA	RA	APPROVED	2007-07-30

CA RA
APPROVED

Since 2025-11-25
WA RA
APPROVED

Since 2007-07-30

Branch Locations

Oxnard, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Icm	Woodland Hills	CA	08/2005	Present
Aig Financial Advisors, Inc.	Phoenix	AZ	10/2005	Present
Janis Financial, Llc	Poulsbo	WA	07/2007	Present

08/2005 → Present

Icm

Woodland Hills, CA
10/2005 → Present

Aig Financial Advisors, Inc.

Phoenix, AZ
07/2007 → Present

Janis Financial, Llc

Poulsbo, WA

Previous Registrations

2007-02-01 → 2007-08-28

Osaic Services, Inc.

Camarillo, CA

Other Businesses

ICM EMPLOYEE INSURANCE THROUGH "ICM" (50% TIME SPENT), TYPES OFFERED WILL BE LIFE, HEALTH AND DISABILITY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-12-09
S63	Uniform Securities Agent State Law Examination	2001-03-14

S65 Uniform Investment Adviser Law Examination

2006-12-09
S63 Uniform Securities Agent State Law Examination

2001-03-14

View on SEC IAPD