Alan J. Jacoby
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.
Alan James Jacoby, who also goes by A. James Jacoby, James Jacoby, Jim Jacoby, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1960. Alan had worked at 4 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2009 - October 29, 2014
AVATAR CAPITAL GROUP LLC
January 17, 2008 - December 31, 2014
STANDARD CREDIT SECURITIES INC.
February 22, 2001 - May 23, 2001
STANDARD CREDIT SECURITIES INC.
July 3, 2000 - December 31, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
December 17, 1980 - June 23, 1999
ASIEL & CO. LLC
April 26, 1960 - July 3, 2000
ASIEL & CO. LLC
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
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 4/26/1960
Registered Representative ExaminationSeries 40
Date: 3/31/1977
Registered Principal ExaminationCurrent Firm
AVATAR CAPITAL GROUP LLC
CRD#: 150136 / SEC#: , 8-68218
Contact information
Documents
Red Flags
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