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JA

Jason T. Adams

J.H. DARBIE & CO.
New York, NY 10005
Some features on this profile are disabled
CRD#: 2137404
JA

Professional summary

Jason Troy Adams is a registered financial professional currently at J.H. DARBIE & CO., INC. located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1991. Jason has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Troy Adams's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 17, 2020 - Present

J.H. DARBIE & CO., INC.

Office #1: 48 Wall St., Suite 1206., New York, NY 10005
RIA
BD
CRD#: 43520
New York, NY
Past

January 20, 2015 - December 18, 2018

KEY WEST INVESTMENTS, LLC

BD
CRD#: 149418
SAN GABRIEL, CA
Past

January 27, 1999 - December 12, 2014

WORLD TRADE FINANCIAL CORPORATION

BD
CRD#: 42638
SAN DIEGO, CA
Past

June 3, 1998 - June 18, 1998

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

April 3, 1997 - September 29, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 10, 1996 - January 22, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 26, 1994 - April 26, 1995

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

July 31, 1992 - October 27, 1994

MONACO SECURITIES, INC.

BD
CRD#: 15719
DENVER, CO
Past

January 9, 1992 - August 4, 1992

AMR SECURITIES, INC.

BD
CRD#: 23368
Past

June 5, 1991 - December 20, 1991

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/18/2020)
RR
Florida
(1/20/2021)
RR
Georgia
(6/3/2024)
RR
Nevada
(2/11/2021)
RR
New York
(2/1/2021)
RR
Wyoming
(8/13/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/10/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/4/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JD
J.H. DARBIE & CO., INC.
J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona
Registered Investment Advisory firm - SEC (7/3/2024 Approved)
New Jersey
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
New York
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
48 Wall St., Suite 1206. Suite 1206, New York, NY 10005
Mailing Address
48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005
Phone number
(212) 269-7271
Established
New York since 06/03/1997
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
5

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RABINOWITZ, ROBERT YPRES, GSP2821450
ANDERSON, ERIK JASONCHIEF COMPLIANCE OFFICER2686661
MATSIS, MICHAEL AAMLCO1455158
NAVEED, HASNAINFINOP, POO, PFO7004810
0

Disclosures

Regulatory Event10
Civil Event1
Arbitration1

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.

Company Information

J.H. DARBIE & CO., INC.

CRD#: 43520New York, NY 10005

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