Jules Septimus
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.
Jules Septimus was a registered financial professional .
Jules is a previously registered financial professional and started their career in finance in 1994. Jules had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2010 - May 3, 2023
HAZARD & SIEGEL, INC.
January 12, 2004 - November 24, 2009
VOYA FINANCIAL ADVISORS, INC.
April 5, 1999 - January 8, 2004
QUESTAR CAPITAL CORPORATION
July 18, 1997 - April 5, 1999
SII INVESTMENTS, INC.
April 6, 1995 - July 18, 1997
MARINER FINANCIAL SERVICES, INC.
January 4, 1994 - April 6, 1995
CONTINENTAL CAPITAL INVESTMENT SERVICES, 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
Current Firm
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
