Jay A. Robinson
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.
Jay Alan Robinson was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1987. Jay had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2021 - November 22, 2023
TD AMERITRADE, INC.
June 27, 2006 - November 22, 2023
CHARLES SCHWAB & CO., INC.
September 2, 2005 - February 23, 2006
RBC CAPITAL MARKETS, LLC
January 5, 2005 - August 17, 2005
PIPER SANDLER & CO.
April 2, 1999 - October 28, 2003
CHARLES SCHWAB & CO., INC.
March 2, 1998 - June 22, 1999
RBC CAPITAL MARKETS, LLC
August 11, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 4, 1995 - July 7, 1997
U.S. BANCORP INVESTMENTS, INC.
March 10, 1993 - December 31, 1994
U.S. BANCORP INVESTMENTS, INC.
November 18, 1992 - March 17, 1993
WOODBURY FINANCIAL SERVICES, INC.
March 31, 1990 - December 31, 1990
WOODBURY FINANCIAL SERVICES, INC.
February 26, 1987 - April 26, 1988
AMERIPRISE FINANCIAL SERVICES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 7/19/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
