Jeffery B. Paiz
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.
Jeffery Bernard Paiz was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1996. Jeffery had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2024 - January 2, 2025
ZEGA FINANCIAL, LLC
August 31, 2022 - January 8, 2024
CHARLES SCHWAB & CO., INC.
March 15, 2022 - January 8, 2024
CHARLES SCHWAB & CO., INC.
December 5, 2016 - October 14, 2022
TD AMERITRADE, INC.
December 5, 2016 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 2, 2016 - December 20, 2023
TD AMERITRADE, INC.
September 18, 2013 - December 31, 2014
ARBOR POINT ADVISORS
September 4, 2013 - November 14, 2016
SECURITIES AMERICA ADVISORS, INC.
August 5, 2013 - November 14, 2016
SECURITIES AMERICA, INC.
August 2, 2007 - December 31, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 2, 2007 - August 12, 2013
TD AMERITRADE, INC.
April 4, 2006 - August 12, 2013
TD AMERITRADE, INC.
January 25, 2006 - April 12, 2006
TD AMERITRADE CLEARING, INC.
April 13, 2005 - November 15, 2005
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 29, 2000 - March 23, 2005
TD AMERITRADE CLEARING, INC.
January 20, 1998 - December 31, 2001
J.P. SECURITIES, INC.
September 20, 1996 - November 3, 1997
FREETRADE.COM, INC.
August 9, 1996 - August 19, 1996
J.P. SECURITIES, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ZEGA FINANCIAL, LLC
CRD#: 156803 / SEC#: 801-78723
Contact information
Regulatory assets under management
| Total Number of Accounts | 36 |
| AUM (Assets Under Management) | $ 4,548,181,412 |
Red Flags
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