Jay A. Novak
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.
Jay Alan Novak was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1999. Jay had worked at 3 firms and has passed the Series 63, SIE 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
May 7, 2013 - May 17, 2017
AETHLON CAPITAL, L.L.C
January 1, 2001 - February 27, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
March 3, 1999 - January 1, 2001
MJK CLEARING, 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
AETHLON CAPITAL, L.L.C
CRD#: 42241 / SEC#: , 8-49765
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRIFFITH, SIMA LYNN | PRINCIPAL, CCO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND OWNER | 2407819 |
Disclosures
| Regulatory Event | 1 |
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.
