Jacob Neiman
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.
Jacob Neiman, who also goes by Jacob Nihamin, Yacov Nihamin, Yakov Nihamin, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 1992. Jacob had worked at 16 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
October 1, 2012 - July 14, 2015
J.P. MORGAN SECURITIES LLC
July 9, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 4, 2010 - July 20, 2010
BROOKVILLE CAPITAL PARTNERS
July 30, 2007 - July 10, 2008
REGAL SECURITIES, INC.
October 4, 2004 - July 31, 2007
BROOKSTREET SECURITIES CORPORATION
August 25, 2003 - September 23, 2004
CARDINAL CAPITAL MANAGEMENT, INC.
April 18, 2001 - August 18, 2003
SENTRA SECURITIES CORPORATION
July 10, 2000 - October 5, 2000
E STREET ACCESS
July 30, 1996 - May 5, 2000
RUSSO SECURITIES INC.
March 29, 1996 - July 15, 1996
THE CAMELOT GROUP, INC.
May 31, 1995 - March 13, 1996
LCP CAPITAL CORP.
March 8, 1995 - April 20, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
January 16, 1995 - January 27, 1995
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
July 31, 1993 - September 29, 1993
CITIGROUP GLOBAL MARKETS INC.
April 24, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
August 27, 1992 - March 16, 1993
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
