Craig B. Jampol
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.
Craig Brian Jampol was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1981. Craig had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2008 - November 24, 2015
STERNE, AGEE & LEACH, INC.
January 18, 2007 - January 30, 2008
W.R. HAMBRECHT + CO., LLC
June 7, 2005 - January 5, 2007
CARIS & COMPANY, INC.
March 24, 1994 - November 9, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
January 18, 1988 - February 18, 1994
GRUNTAL & CO., L.L.C.
September 23, 1987 - January 31, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
November 27, 1981 - February 18, 1994
GRUNTAL & CO., L.L.C.
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: 10/30/1982
Interest Rate Options ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
