Richard A. 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.
Richard Andrew Jacobs was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2012 - July 11, 2023
CGA SECURITIES, LLC
August 4, 2011 - August 29, 2012
WATERWAY CAPITAL LLC
December 20, 2005 - July 1, 2009
NATWEST MARKETS SECURITIES INC.
February 24, 1989 - January 4, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 23, 1986 - June 8, 1988
CREDIT SUISSE SECURITIES (USA) 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
Current Firm
CGA SECURITIES, LLC
CRD#: 32301 / SEC#: , 8-45684
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
