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JA

John A. Anderson

Some features on this profile are disabled
CRD#: 1584919
JA

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.

John Alfred Anderson III, who also goes by Jay Anderson III, Jay Anderson, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Anderson Iii | Jay Anderson

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

August 6, 2007 - September 22, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

March 7, 2006 - July 18, 2006

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

August 31, 2004 - January 18, 2006

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

November 21, 2001 - August 24, 2004

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

August 5, 1998 - December 19, 2001

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 8, 1997 - July 10, 1998

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

October 4, 1989 - August 27, 1997

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

February 15, 1989 - October 7, 1989

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

May 16, 1988 - March 1, 1989

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

June 17, 1987 - May 28, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

November 21, 1986 - June 17, 1987

MARION BASS SECURITIES CORPORATION

BD
CRD#: 7961

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: 11/21/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 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#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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