Jeffrey R. Unger
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.
Jeffrey R. Unger, who also goes by Jeffrey Unger, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2011. Jeffrey had worked at 3 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2020 - May 29, 2026
HOLLISTER ASSOCIATES, LLC
October 26, 2015 - September 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
November 29, 2011 - October 30, 2015
BRILL SECURITIES, 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
Series 62
Date: 11/28/2011
Corporate Securities Limited Representative ExaminationCurrent Firm
HOLLISTER ASSOCIATES, LLC
CRD#: 173366 / SEC#: , 8-69538
Contact information
FINRA licenses (52 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.
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