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JD

Jason Diamond

BANCROFT CAPITAL
Fort Washington, PA 19034
Some features on this profile are disabled
CRD#: 1519498
JD

Professional summary

Jason Diamond, who also goes by Jason Diamond, Lawrence Jason Diamond, is a registered financial professional currently at BANCROFT CAPITAL, LLC located in Fort Washington, Pennsylvania.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1987. Jason has worked at 18 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason Diamond | Lawrence Jason Diamond

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) - BD

Click below to view Jason Diamond's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 27, 2023 - Present

BANCROFT CAPITAL, LLC

Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034
RIA
BD
CRD#: 290665
Fort Washington, PA
Past

April 30, 2019 - April 14, 2023

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

May 6, 2013 - April 25, 2019

DREXEL HAMILTON, LLC

BD
CRD#: 143570
MILWAUKEE, WI
Past

February 28, 2012 - May 2, 2013

KUHNS BROTHERS SECURITIES CORPORATION

BD
CRD#: 47331
MILWAUKEE, WI
Past

March 1, 2011 - February 17, 2012

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
MILWAUKEE, WI
Past

July 12, 2002 - February 25, 2011

CAPSTONE INVESTMENTS

BD
CRD#: 41400
MILWAUKEE, WI
Past

July 24, 2001 - July 15, 2002

FREDERICK & COMPANY, INC.

BD
CRD#: 333
BROOKFIELD, WI
Past

September 10, 1991 - September 18, 1996

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

March 27, 1991 - July 17, 1991

ADAMS SECURITIES, INC.

BD
CRD#: 16688
Past

December 12, 1990 - March 27, 1991

FIRST CHOICE SECURITIES CORP.

BD
CRD#: 17021
Past

October 5, 1990 - December 20, 1990

FIRST TRUST SECURITIES OF CALIFORNIA, INC.

BD
CRD#: 25704
Past

March 28, 1990 - September 27, 1990

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

March 2, 1989 - April 9, 1990

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 2, 1989 - April 9, 1990

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

November 23, 1988 - October 13, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

November 23, 1988 - October 13, 1989

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

December 17, 1987 - August 31, 1988

JSC SECURITIES, INC.

BD
CRD#: 475
Past

January 21, 1987 - November 16, 1987

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/28/2023)
RR
Illinois
(9/7/2023)
RR
Massachusetts
(3/28/2023)
RR
Pennsylvania
(3/28/2023)
RR
Wisconsin
(4/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/22/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/22/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BC
BANCROFT CAPITAL, LLC
BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Phone number
(484) 686-0346
Established
Pennsylvania since 07/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.
LINDH, COLLEEN MARNIECCO/FINOP1912150

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

BANCROFT CAPITAL, LLC

CRD#: 290665Fort Washington, PA 19034

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