Jeffrey A. Looker
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.
Jeffrey Arthur Looker, who also goes by Jeff Looker, Jeffery Arthur Looker, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1985. Jeffrey had worked at 8 firms and has passed the Series 63, 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
August 22, 2000 - July 2, 2014
1ST GLOBAL ADVISORS INC
May 4, 2000 - July 2, 2014
1ST GLOBAL CAPITAL CORP.
September 8, 1995 - May 1, 2000
OSAIC WEALTH, INC.
January 31, 1995 - September 14, 1995
NOYES PARTNERS INCORPORATED
September 29, 1993 - October 21, 1993
FIRST COLONIAL SECURITIES
July 15, 1993 - October 8, 1993
MCLEOD & COMPANY, INC.
June 9, 1989 - August 2, 1993
GUARDIAN INVESTOR SERVICES LLC
November 19, 1985 - June 10, 1989
WS GRIFFITH SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
