Jeffrey A. Untersee
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.
Jeffrey Alexander Untersee, who also goes by Jeff Untersee, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - December 20, 2016
FINANCIAL WEST GROUP
December 18, 2012 - December 20, 2016
FINANCIAL WEST GROUP
June 5, 2012 - November 16, 2012
J. W. COLE ADVISORS, INC.
May 11, 2012 - November 16, 2012
J.W. COLE FINANCIAL, INC.
August 17, 2009 - May 17, 2012
VALIC FINANCIAL ADVISORS, INC.
August 17, 2009 - May 17, 2012
VALIC FINANCIAL ADVISORS, INC.
April 24, 2009 - August 18, 2009
MOMENTUM INDEPENDENT NETWORK INC.
April 24, 2009 - August 18, 2009
MOMENTUM INDEPENDENT NETWORK INC.
January 1, 2008 - April 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 6, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 28, 2006 - February 16, 2007
INDEPENDENT FINANCIAL GROUP, LLC
August 16, 2006 - February 16, 2007
INDEPENDENT FINANCIAL GROUP, LLC
March 7, 2006 - July 5, 2006
BB&T INVESTMENT SERVICES, INC.
March 7, 2006 - July 5, 2006
BB&T INVESTMENT SERVICES, INC.
September 3, 2004 - March 7, 2006
MUTUAL SERVICE CORPORATION
July 13, 2004 - March 7, 2006
MUTUAL SERVICE CORPORATION
May 9, 2003 - July 20, 2004
CITIGROUP GLOBAL MARKETS INC.
July 11, 2000 - July 20, 2004
CITIGROUP GLOBAL MARKETS INC.
June 4, 1991 - July 19, 2000
FIDELITY BROKERAGE SERVICES LLC
July 11, 1989 - March 20, 1990
CAPITAL FIRST SECURITIES, INC.
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 8
Date: 6/16/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
