Jay J. Jackson
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.
Jay J Jackson was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1994. Jay had worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 7 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
February 15, 2011 - June 24, 2014
RIVERROCK ASSET MANAGEMENT LLC
August 16, 2005 - January 3, 2007
NYLIFE DISTRIBUTORS LLC
September 13, 2004 - August 10, 2005
BNY MELLON SECURITIES CORPORATION
October 19, 1994 - September 9, 2004
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
Primary Firm SEC Registration
RIVERROCK ASSET MANAGEMENT LLC
CRD#: 147691 / SEC#: 801-127848
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
RIVERROCK ASSET MANAGEMENT LLC
CRD#: 147691 / SEC#: 801-127848
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 126,036,754 |
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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