Jay B. Twomey
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.
Jay Bernard Twomey was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1984. Jay had worked at 8 firms and has passed the Series 63 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 9, 1992 - December 31, 1998
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
March 5, 1991 - September 9, 1992
NTB FINANCIAL CORPORATION
December 7, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
October 15, 1990 - October 23, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
May 14, 1990 - August 24, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
October 2, 1989 - May 10, 1990
THE OXFORD GROUP, INC.
July 25, 1989 - October 5, 1989
J. T. MORAN & CO., INC.
November 7, 1986 - August 24, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
May 25, 1984 - May 13, 1986
BLINDER, ROBINSON & CO., 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
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
