Steven L. Jacobson
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.
Steven Lee Jacobson, who also goes by Steven Jacobson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 8 firms and has passed the Series 63, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2010 - May 27, 2014
SECURITIES AMERICA, INC.
August 13, 2009 - August 11, 2010
NEXT FINANCIAL GROUP, INC.
January 9, 2009 - August 10, 2009
NATIONAL PLANNING CORPORATION
March 2, 2005 - January 29, 2009
OSAIC WEALTH, INC.
April 2, 2001 - March 9, 2005
LPL FINANCIAL LLC
August 23, 1996 - April 23, 2001
MORGAN STANLEY DW INC.
April 30, 1996 - June 14, 1996
MORGAN STANLEY DW INC.
November 16, 1995 - December 5, 1995
NEW ENGLAND SECURITIES
November 16, 1995 - February 8, 1996
JOSEPH CHARLES & ASSOC., 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 2
Date: 7/7/1992
Non-Member General Securities ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
