Elliot J. Vail
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.
Elliot Jay Vail, who also goes by E J Vail, was a registered financial professional .
Elliot is a previously registered financial professional and started their career in finance in 1994. Elliot had worked at 10 firms and has passed the Series 63, SIE, 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
September 28, 2016 - September 22, 2017
AMERICAN EQUITY INVESTMENT CORPORATION
March 23, 2010 - October 16, 2014
CROWN CAPITAL SECURITIES, L.P.
May 30, 2002 - August 28, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 1999 - May 30, 2002
MUTUAL SERVICE CORPORATION
February 5, 1998 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
February 3, 1998 - February 11, 1998
AVANTAX INVESTMENT SERVICES, INC.
February 19, 1997 - September 9, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1994 - February 24, 1997
LEGG MASON WOOD WALKER, INCORPORATED
July 8, 1994 - July 19, 1994
DICKINSON & CO.
May 18, 1994 - July 26, 1994
F.N. WOLF & CO., 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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
Red Flags
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