Jay A. Farmer
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.
Jay Allen Farmer, CFP® was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1991. Jay had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 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 3, 2014 - February 7, 2023
SCHWAB WEALTH ADVISORY, INC.
September 2, 2011 - December 31, 2013
OPTIONSXPRESS, INC.
January 30, 2003 - January 3, 2014
CHARLES SCHWAB & CO., INC.
April 7, 1992 - February 7, 2023
CHARLES SCHWAB & CO., INC.
May 8, 1991 - January 24, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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: 8/31/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
