Paul M. Jacob
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.
Paul Mitchell Jacob was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 3 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2017 - July 19, 2022
FINANCE OF AMERICA SECURITIES LLC
March 3, 2014 - December 28, 2015
B. RILEY WEALTH MANAGEMENT
December 14, 2009 - March 19, 2014
BANC OF MANHATTAN CAPITAL
May 7, 2009 - January 5, 2010
MDB CAPITAL
February 20, 2009 - March 17, 2009
BEACON CAPITAL MARKETS, LLC
March 17, 2003 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
October 7, 1992 - November 30, 1992
MORGAN STANLEY & CO. LLC
April 19, 1989 - February 15, 1991
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FINANCE OF AMERICA SECURITIES LLC
CRD#: 284464 / SEC#: , 8-69803
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
