Jacob J. Spinner
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 Joseph Spinner, who also goes by Jay Spinner, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 1992. Jacob had worked at 8 firms and has passed the Series 63, Series 55, 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 28, 2004 - January 4, 2007
POND EQUITIES
October 16, 2002 - January 2, 2004
POND EQUITIES
May 7, 2002 - December 19, 2003
LIVINGSTON CAPITAL INVESTORS, LLC
October 6, 2000 - June 3, 2002
POND EQUITIES
September 22, 2000 - October 30, 2002
REFCO SECURITIES, LLC
July 19, 1999 - July 31, 2000
TRADE.COM ONLINE SECURITIES, INC.
March 18, 1997 - July 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1993 - March 21, 1997
CITIGROUP GLOBAL MARKETS INC.
March 16, 1993 - October 22, 1993
G.R. STUART & COMPANY, INC.
August 4, 1992 - March 16, 1993
FINANCIAL SECURITIES NETWORK,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 55
Date: 5/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
POND EQUITIES
CRD#: 30934 / SEC#: , 8-45251
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
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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