Jeffrey L. Baclet
Professional summary
Jeffrey Lyle Baclet was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Jeffrey had worked at 11 firms, which includes PROVIDENTIAL SECURITIES INC., NATIONAL CAPITAL SECURITIES INC., CAPITAL INTERNATIONAL SECURITIES GROUP INC., JOSEPHTHAL & CO. INC., GKN SECURITIES CORP., DONALD & CO. SECURITIES INC., THE AGEAN GROUP INC, J. GREGORY & COMPANY INC., JOSEPH ROBERTS & CO. INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, J. W. GANT & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2000 - June 29, 2000
PROVIDENTIAL SECURITIES, INC.
October 29, 1996 - October 22, 2002
NATIONAL CAPITAL SECURITIES, INC.
July 25, 1995 - December 17, 1996
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
February 7, 1995 - July 6, 1995
JOSEPHTHAL & CO., INC.
August 26, 1994 - December 5, 1994
GKN SECURITIES CORP.
April 4, 1994 - July 6, 1994
DONALD & CO. SECURITIES INC.
February 9, 1994 - April 1, 1994
THE AGEAN GROUP, INC
October 7, 1993 - February 11, 1994
J. GREGORY & COMPANY, INC.
February 5, 1993 - June 23, 1993
JOSEPH ROBERTS & CO., INC.
July 8, 1992 - January 28, 1993
TUSCANY EQUITY MANAGEMENT CORPORATI0N
February 16, 1990 - July 27, 1992
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PROVIDENTIAL SECURITIES, INC.
CRD#: 31189 / SEC#: , 8-45452
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
Red Flags
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