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JC

Jay C. Cope

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CRD#: 1202975
JC

Professional summary

Jay Courtney Cope was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jay is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Jay had worked at 3 firms, which includes TRINITY EQUITY TRADING INC., RAYMOND JAMES FINANCIAL SERVICES INC., UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 14, 1991 - January 3, 1996

TRINITY EQUITY TRADING, INC.

BD
CRD#: 28434
SANDPOINT, ID
Past

January 13, 1987 - October 4, 1991

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

October 20, 1983 - January 30, 1985

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination

Current Firm

TE
TRINITY EQUITY TRADING, INC.
TRINITY EQUITY TRADING, INC.

CRD#: 28434 / SEC#: , 8-43737

BD
Cancelled by SEC on 12/15/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 04/05/1991
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

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.

Company Information

TRINITY EQUITY TRADING, INC.

CRD#: 28434

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