Alan James Jacoby
Professional Summary
Alan James Jacoby, who also goes by A. James Jacoby, James Jacoby, Jim Jacoby, was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1960 - 2014. Alan had worked at 4 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
A. James Jacoby, James Jacoby, Jim Jacoby
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
66 years in the financial services industry
Current & Past Employments
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Current Firm
AVATAR CAPITAL GROUP LLC
Contact Information
Established
Delaware since 03/16/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Nov 1981Series 1 — Registered Representative Examination
Passed Apr 1960Series 40 — Registered Principal Examination
Passed Mar 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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