Jeffrey D. Foote
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.
Jeffrey Douglas Foote, who also goes by Jeffrey Foote, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2001. Jeffrey had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2013 - January 28, 2014
BEL AIR SECURITIES LLC
March 17, 2008 - February 14, 2013
RBC CAPITAL MARKETS, LLC
March 14, 2008 - February 14, 2013
RBC CAPITAL MARKETS, LLC
May 29, 2007 - March 25, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
February 28, 2007 - March 25, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
May 19, 2005 - November 15, 2006
WAMU INVESTMENTS, INC.
January 14, 2005 - May 27, 2005
UBS FINANCIAL SERVICES INC.
February 22, 2002 - May 6, 2004
CITIGROUP GLOBAL MARKETS INC.
July 11, 2001 - November 8, 2001
CITIGROUP GLOBAL MARKETS 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
Current Firm
BEL AIR SECURITIES LLC
CRD#: 134953 / SEC#: , 8-66875
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
