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JC

Jerry R. Chaffin

Some features on this profile are disabled
CRD#: 2764087
JC

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.

Jerry Ray Chaffin was a registered financial professional .

Jerry is a previously registered financial professional and started their career in finance in 2000. Jerry had worked at 3 firms and has passed the Series 63, SIE and Series 7 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

September 11, 2007 - November 10, 2015

AMEGY INVESTMENTS, INC.

BD
CRD#: 120145
HOUSTON, TX
Past

November 15, 2003 - February 14, 2006

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

July 28, 2000 - November 15, 2003

J.P. MORGAN SECURITIES OF TEXAS, INC.

BD
CRD#: 17116
HOUSTON, TX

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: 5/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/10/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/2000
General Securities Representative Examination

Current Firm

AI
AMEGY INVESTMENTS, INC.
AMEGY INVESTMENTS, INC. | SWBT SECURITIES, INC.

CRD#: 120145 / SEC#: 801-61121, 8-65399

BD
Terminated by SEC on 07/18/2016
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Contact information

Main Address
4400 Post Oak Parkway, Houston, TX 77027-3421
Mailing Address
Phone number
Established
Texas since 02/14/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A ANNUAL UPDATE EFFECTIVE 3-31-15 (3/31/2015)

Direct owners and executive officers

NamePositionCRD#
ZB, N.A.OWNER
CHAPA, SCOTT EDWARDDIRECTOR / SENIOR VICE PRESIDENT4309262
DILLARD, KARENASSISTANT SECRETARY
KNELL, TERRY LYNNVICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES1733584
NEWMAN, VALERIE LAYNEVICE PRESIDENT2763957
OUYANG, JANE JIADIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP1817244
PAUL, ROSALIE JANISEASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES2217903
SHELTON, ROBERT ANDREWSDIRECTOR / SENIOR VICE PRESIDENT2561167
TAYLOR, LINCOLN EARLPRESIDENT & DIRECTOR5011548

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

AMEGY INVESTMENTS, INC.

CRD#: 120145

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