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JU

Jeffrey R. Unger

HOLLISTER ASSOCIATES
Boston, MA 02116
Some features on this profile are disabled
CRD#: 2196330
JU

Professional summary

Jeffrey R. Unger, who also goes by Jeffrey Unger, is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in Boston, Massachusetts.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2011. Jeffrey has worked at 3 firms and has passed the Series 63, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Unger

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 Jeffrey R. Unger'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

September 30, 2020 - Present

HOLLISTER ASSOCIATES, LLC

Office #1: 420 Boylston Street Suite 302, Boston, MA 02116
BD
CRD#: 173366
Boston, MA
Past

October 26, 2015 - September 1, 2020

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Boston, MA
Past

November 29, 2011 - October 30, 2015

BRILL SECURITIES, INC.

BD
CRD#: 18565
BOSTON, MA

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
Massachusetts
(9/30/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/24/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 11/28/2011
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HOLLISTER ASSOCIATES, LLC
HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
257 River Oak Drive, Mount Pleasant, SC 29464
Mailing Address
257 River Oak Drive, Mount Pleasant, SC 29464
Phone number
(401) 465-3080
Established
South Carolina since 09/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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

HOLLISTER ASSOCIATES, LLC

CRD#: 173366Boston, MA 02116

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