Jay D. Perlman
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 David Perlman was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1987. Jay had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2017 - March 7, 2017
THE LEADERS GROUP, INC.
September 4, 2009 - April 1, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 2008 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 9, 2007 - April 7, 2008
OSAIC FS, INC.
January 13, 2005 - February 7, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
March 29, 2004 - December 31, 2004
MUTUAL SERVICE CORPORATION
January 1, 2004 - January 30, 2004
VOYA FINANCIAL ADVISORS, INC.
June 21, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
November 13, 2000 - June 24, 2002
SECURITIES SERVICE NETWORK, LLC
June 4, 1999 - November 13, 2000
LIFEMARK SECURITIES CORP.
February 10, 1999 - April 23, 1999
OSAIC FS, INC.
March 11, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 11, 1988 - December 12, 1997
PRUCO SECURITIES, LLC.
August 5, 1987 - December 12, 1997
PRUCO SECURITIES, 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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