Steven F. Jacobs
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.
Steven Franklin Jacobs was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 4 firms and has passed the Series 65, Series 5 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
November 10, 2015 - March 20, 2024
J4 CAPITAL LLC
December 24, 1986 - June 23, 1989
REFCO SECURITIES, LLC
November 27, 1984 - December 12, 1986
MORGAN STANLEY DW INC.
June 21, 1982 - November 13, 1984
SANWA UNIVERSAL SECURITIES CO., LLC
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
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
J4 CAPITAL LLC
CRD#: 226601 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 4,800,000 |
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.
