Jeffery S. Willis

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CRD#: 2146730

Professional summary

Jeffery Scott Willis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffery is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Jeffery had worked at 11 firms, which includes CERTUSSECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., INVEST FINANCIAL CORPORATION, VOYA FINANCIAL ADVISORS INC., MORGAN KEEGAN & COMPANY LLC, UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., CARTER TERRY & COMPANY INC., FAIRCHILD FINANCIAL GROUP INC., RICKEL & ASSOCIATES INC., F.N. WOLF & CO. INC..

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 16, 2011 - August 31, 2012

CERTUSSECURITIES, INC.

CRD#: 144051

COVINGTON, GA

Past

April 20, 2009 - May 3, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

COVINGTON, GA

Past

October 11, 2006 - August 22, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

COVINGTON, GA

Past

October 4, 2006 - August 22, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

COVINGTON, GA

Past

August 9, 2004 - September 19, 2006

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

ATHENS, GA

Past

October 2, 2003 - September 19, 2006

INVEST FINANCIAL CORPORATION

CRD#: 12984

ATHENS, GA

Past

May 15, 2003 - September 16, 2003

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 9, 2001 - May 2, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

August 14, 2000 - May 16, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 3, 2000 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

September 2, 1998 - May 26, 2000

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

August 4, 1998 - August 26, 1998

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

Past

July 11, 1995 - August 18, 1998

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

Past

July 6, 1994 - August 9, 1995

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

June 3, 1991 - July 21, 1994

F.N. WOLF & CO., INC.

CRD#: 13051

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/26/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/30/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/1995

General Securities Principal Examination

Current Firm

CERTUSSECURITIES, INC.

CERTUSSECURITIES, INC. | SAGE SOUTHEASTERN SECURITIES, INC.

CRD#: 144051 / SEC#: , 8-67627

Terminated by SEC on 01/29/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Georgia since 01/10/2007

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CERTUSHOLDINGS, INC.	HOLDING COMPANY
BEAR, JAMES ADAM III	CHIEF COMPLIANCE OFFICER, CEO, PRESIDENT	1411610
DISILVESTRO, TERI J	CFO, FINOP	5024025
JERRUM, LEE ANTONY	COO	1280710

Red Flags

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Firm Stability Insights

Jeffery S. Willis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

VOYA FINANCIAL ADVISORS, INC.

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

CARTER, TERRY & COMPANY, INC.

CARTER, TERRY & COMPANY, INC.

FAIRCHILD FINANCIAL GROUP, INC.

RICKEL & ASSOCIATES, INC.

F.N. WOLF & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2004

Series 63

Date: 6/11/1991

Series 7

Date: 5/30/1991

Series 24

Date: 9/20/1995

Current Firm

CERTUSSECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

CERTUSSECURITIES, INC.

TRUST BUT VERIFY

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