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BJ

Brent Jay

Some features on this profile are disabled
CRD#: 257708
BJ

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.

Brent Jay was a registered financial professional .

Brent is a previously registered financial professional and started their career in finance in 1973. Brent had worked at 9 firms and has passed the Series 63, Series 1, Series 000, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 21, 1986 - October 2, 1995

VFG SECURITIES, INC.

BD
CRD#: 15121
Past

April 18, 1984 - October 2, 1995

VFG SECURITIES, INC.

BD
CRD#: 15121
CULVER CITY, CA
Past

September 2, 1983 - September 28, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 26, 1978 - January 14, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

November 8, 1977 - March 18, 1978

JJC SECURITIES CO., INC.

BD
CRD#: 3144
Past

April 5, 1977 - December 30, 1978

MEYERS SECURITIES CORPORATION

BD
CRD#: 7183
Past

October 20, 1976 - September 26, 1978

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802
Past

January 4, 1974 - November 12, 1976

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

May 17, 1973 - April 29, 1974

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412
Past

May 1, 1973 - October 8, 1983

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 5/14/1973
Registered Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 5/1/1973
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/8/1987
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/1985
General Securities Principal Examination

Current Firm

VS
VFG SECURITIES, INC.
INTERNATIONAL BUSINESS SECURITIES, INC. | VFG SECURITIES, INC. | METROPOLITAN SECURITIES INCORPORATED

CRD#: 15121 / SEC#: , 8-31595

BD
Terminated by SEC on 01/19/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/30/1984
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VANCLEF FINANCIAL GROUPOWNER
NGO, TUAN ANHCHIEF OPERATIONS OFFICER2819426
PRICE, EDWARD LOWRYCHIEF COMPLIANCE OFFICER, FINOP1298103
VANCLEF, JASON BRYCEPRESIDENT, CEO5096529

Disclosures

Regulatory Event3

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.

Company Information

VFG SECURITIES, INC.

CRD#: 15121

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