Jiya L. Jain
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.
Jiya Lal Jain, who also goes by Jay Jain, was a registered financial professional .
Jiya is a previously registered financial professional and started their career in finance in 1984. Jiya had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 24, Series 27, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2007 - September 26, 2012
GREGORY, ZENT & SWANSON INC.
December 3, 1985 - September 25, 1990
PRINCIPAL ASSETS INVESTMENT, INC.
March 27, 1984 - December 5, 1985
LAKSHMI INVESTMENT GROUP, INC.
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
Current Firm
GREGORY, ZENT & SWANSON INC.
CRD#: 22590 / SEC#: 801-32530, 8-39857
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
