Douglas M. Jacoby
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.
Douglas Michael Jacoby was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 10, Series 9 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
March 28, 2025 - May 15, 2025
LAIDLAW & COMPANY (UK) LTD.
October 14, 2014 - July 28, 2017
INTESA SANPAOLO IMI SECURITIES CORP.
September 8, 2009 - August 29, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2008 - August 21, 2009
BARCLAYS CAPITAL INC.
July 12, 2004 - September 22, 2008
LEHMAN BROTHERS INC.
April 15, 2003 - June 29, 2004
CREDIT SUISSE SECURITIES (USA) LLC
April 14, 2000 - March 25, 2003
CITIGROUP GLOBAL MARKETS INC.
October 23, 1996 - March 27, 2000
UBS 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
Series 55
Date: 4/22/1998
Limited Representative-Equity Trader ExamCurrent Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 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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