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JN

Jeffrey G. Nunez

Some features on this profile are disabled
CRD#: 1580759
JN

Professional summary

Jeffrey George Nunez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Jeffrey had worked at 8 firms, which includes CHICAGO INVESTMENT GROUP LLC, PROVIDENTIAL SECURITIES INC., THINKEQUITY LLC, COMMONWEALTH ASSOCIATES, GILFORD SECURITIES INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 6, 2000 - November 7, 2003

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

December 23, 1999 - October 2, 2000

PROVIDENTIAL SECURITIES, INC.

BD
CRD#: 31189
FOUNTAIN VALLEY, CA
Past

February 4, 1997 - October 20, 1999

THINKEQUITY LLC

BD
CRD#: 20996
NEW YORK, NY
Past

November 9, 1995 - February 26, 1997

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

February 14, 1994 - November 21, 1995

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

May 11, 1992 - December 10, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 3, 1989 - June 3, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 1, 1987 - January 11, 1989

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination

Current Firm

CI
CHICAGO INVESTMENT GROUP, LLC
CHICAGO INVESTMENT GROUP | G. A. O. INC. | G A O INC | CHICAGO INVESTMENT GROUP, LLC | CHICAGO INVESTMENT GROUP, INC.

CRD#: 11853 / SEC#: , 8-27507

BD
Terminated by SEC on 09/07/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COMPASS CAPITAL MANAGEMENT INTERNATIONAL, LLCOWNER
MERRITT HOLDINGS II LLCSHAREHOLDER
BULLARD, ROBERT JONATHANOPS. MGR / RSOFP2975440
LYNCH, JAMES PATRICKMANAGING DIRECTOR2387056
LYNCH, RICHARD PAULCEO/ CCO1938604

Disclosures

Regulatory Event16
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

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