Jason E. Gross
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.
Jason Evan Gross, who also goes by Jay Gross, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1996. Jason had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2016 - August 30, 2017
THINKEQUITY LLC
February 24, 2016 - September 15, 2016
SPARTAN CAPITAL SECURITIES, LLC
September 15, 2015 - February 26, 2016
AVENIR FINANCIAL GROUP
November 27, 2012 - September 16, 2015
NATIONAL SECURITIES CORPORATION
July 12, 2004 - December 17, 2012
VFINANCE INVESTMENTS, INC
June 18, 2004 - July 7, 2004
VFINANCE INVESTMENTS, INC
August 2, 2002 - June 14, 2004
GILFORD SECURITIES INCORPORATED
January 2, 2002 - July 30, 2002
OPPENHEIMER & CO. INC.
May 3, 2001 - January 2, 2002
PRIME CHARTER LTD.
January 4, 2000 - May 1, 2001
WEATHERLY SECURITIES CORPORATION
March 15, 1999 - April 12, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
April 8, 1998 - October 26, 1998
PRESTON LANGLEY ASSET MANAGEMENT, INC.
December 3, 1997 - July 17, 1998
DUKE & CO., INC.
May 15, 1997 - November 21, 1997
BILTMORE SECURITIES, INC.
June 28, 1996 - October 25, 1996
MAIDSTONE FINANCIAL, 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
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
