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JG

Jamie A. Greenwald

NORTH CAPITAL PRIVATE SECURITIES
Salt Lake City, UT 84047
Some features on this profile are disabled
CRD#: 1565488
JG

Professional summary

Jamie Alexander Greenwald is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.

Jamie is registered as a RR (Registered Representative) and started their career in finance in 1987. Jamie has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Jamie Alexander Greenwald'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

February 8, 2018 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
BD
CRD#: 154559
Salt Lake City, UT
Past

April 13, 1995 - June 2, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

July 19, 1990 - April 4, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 1, 1987 - March 22, 1990

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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
(2/23/2018)
RR
Connecticut
(2/27/2018)
RR
District of Columbia
(7/5/2022)
RR
Massachusetts
(7/5/2022)
RR
New Jersey
(2/27/2018)
RR
New York
(2/27/2018)
RR
Pennsylvania
(2/27/2018)
RR
Texas
(2/27/2018)
RR
Utah
(2/23/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/23/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/27/2017
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/6/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/3/2003
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

Disclosures

Regulatory Event1

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

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559Salt Lake City, UT 84047

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