Jeffrey E. Davis
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 Evan Davis, who also goes by Jeffrey E Davis, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2004 - January 4, 2017
CP INVESTMENTS, LLC
January 12, 2001 - January 30, 2003
COWEN AND COMPANY
August 24, 1998 - November 29, 2000
UBS FINANCIAL SERVICES INC.
June 2, 1994 - September 8, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 1992 - June 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CP INVESTMENTS, LLC
CRD#: 24029 / SEC#: , 8-40862
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory 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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