Jay J. Gianni
Professional summary
Jay James Gianni was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jay is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Jay had worked at 7 firms, which includes FIRST MIDWEST SECURITIES INC., JOHN JAMES INVESTMENTS LTD., NATIONAL PLANNING CORPORATION, CETERA WEALTH SERVICES LLC, IFMG SECURITIES INC., KOBER FINANCIAL CORP., 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
December 6, 2002 - August 21, 2003
FIRST MIDWEST SECURITIES, INC.
September 14, 2000 - June 18, 2002
JOHN JAMES INVESTMENTS, LTD.
May 24, 1999 - September 19, 2000
NATIONAL PLANNING CORPORATION
August 28, 1994 - May 14, 1999
CETERA WEALTH SERVICES, LLC
May 11, 1992 - June 2, 1994
IFMG SECURITIES, INC.
August 6, 1991 - May 19, 1992
KOBER FINANCIAL CORP.
June 17, 1991 - August 6, 1991
J. W. GANT & ASSOCIATES, 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
Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
