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JF

Jacob Feder

Some features on this profile are disabled
CRD#: 2616760
JF

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.

Jacob Feder, who also goes by Jake Feder, was a registered financial professional .

Jacob is a previously registered financial professional and started their career in finance in 1996. Jacob had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jake Feder

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

April 22, 2015 - October 1, 2024

EMPIRE STATE FINANCIAL, INC.

BD
CRD#: 5657
LONG BEACH, NY
Past

January 11, 2002 - March 8, 2002

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

July 18, 2001 - August 24, 2001

M.S. FARRELL & COMPANY, INC.

BD
CRD#: 24232
SYOSSET, NY
Past

December 14, 2000 - May 11, 2001

DUPONT SECURITIES GROUP, INC.

BD
CRD#: 42305
NEW YORK, NY
Past

September 25, 2000 - December 1, 2000

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD
CRD#: 35733
NEW YORK, NY
Past

May 31, 2000 - October 2, 2000

MORGAN SPAULDING, INC.

BD
CRD#: 44604
DALLAS, TX
Past

November 16, 1999 - March 1, 2000

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

February 11, 1999 - October 7, 1999

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

March 3, 1998 - September 29, 1998

CAMBRIDGE CAPITAL, LLC

BD
CRD#: 41464
GARDEN CITY, NY
Past

July 24, 1997 - March 5, 1998

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

November 8, 1996 - June 5, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

July 19, 1996 - November 26, 1996

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

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: 2/8/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2015
General Securities Representative Examination

Current Firm

ES
EMPIRE STATE FINANCIAL, INC.
EMPIRE STATE FINANCIAL, INC. | HAVKIT CORPORATION

CRD#: 5657 / SEC#: , 8-16309

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
20 W. Park Ave. Suite 207, Long Beach, NY 11561
Mailing Address
20 W. Park Ave. Suite 207, Long Beach, NY 11561
Phone number
(516) 442-1883
Established
New York since 01/11/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LION CAPITAL HOLDINGS, INC.HOLDING COMPANY
BUSACCA, JOHN BRIAN IIIDIRECTOR OF COMPLIANCE2302780
BUSACCA, JOHN BRIAN IIICCO2302780
GLASS, BRYAN SETHPRESIDENT, CEO, DIRECTOR, COMPLIANCE OFFICER, SUPERVISORY PRINCIPAL2834514
SIPKIN, JOSEPH GARYFINOP1334813

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

EMPIRE STATE FINANCIAL, INC.

CRD#: 5657

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