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JJ

James E. Jacobson

Some features on this profile are disabled
CRD#: 2901164
JJ

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.

James Einer Jacobson, who also goes by James Jacobson, Jim Jacobson, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1997. James had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Jacobson | Jim Jacobson

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

November 9, 2011 - December 5, 2012

PENATES GROUP, INC.

BD
CRD#: 44266
PACIFIC PALISADES, CA
Past

April 11, 2007 - November 11, 2009

PEAK SECURITIES CORPORATION

RIA
CRD#: 107907
SCOTTSDALE, AZ
Past

February 16, 2007 - November 11, 2009

PEAK SECURITIES CORPORATION

BD
CRD#: 107907
LARGO, FL
Past

October 27, 2006 - December 2, 2009

SECOND LOOK FINANCIAL, LLC.

RIA
CRD#: 128028
GLENDALE, AZ
Past

May 20, 2005 - November 4, 2005

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

October 13, 2003 - May 26, 2005

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

August 11, 2001 - September 22, 2003

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

November 3, 2000 - June 5, 2001

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

February 10, 2000 - November 8, 2000

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

August 4, 1997 - December 23, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

August 4, 1997 - December 23, 1998

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, 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
IAR
Series 65
Date: 7/31/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PG
PENATES GROUP, INC.
PENATES GROUP, INC.

CRD#: 44266 / SEC#: , 8-50594

BD
Terminated by SEC on 06/01/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 08/27/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OBRIEN, JOHN PATRICKPRESIDENT AND CEO, CHIEF COMPLIANCE OFFICER2637870

Disclosures

Regulatory Event1

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

PENATES GROUP, INC.

CRD#: 44266

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