Jason A. Rich
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 Allen Rich, who also goes by Jay Rich, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1993. Jason had worked at 5 firms and has passed the Series 63, Series 62, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2007 - April 1, 2008
BROOKSTONE SECURITIES, INC.
April 7, 2005 - July 25, 2007
J.P. TURNER & COMPANY, L.L.C.
November 25, 2003 - March 18, 2005
S.W. BACH & COMPANY
September 7, 1995 - April 14, 1998
FAIRCHILD FINANCIAL GROUP, INC.
December 17, 1993 - July 19, 1995
STRATTON OAKMONT 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: 11/24/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
