Jay P. Calvert
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 Patrick Calvert, who also goes by Pat Calvert, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1970. Jay had worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 5, PC, Series 000, Series 1 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
September 28, 2012 - January 9, 2019
SFI INTERNATIONAL, LLC
January 11, 2012 - August 13, 2012
CHAMPION SECURITIES COMPANY L.L.C.
April 12, 2005 - January 12, 2010
SANCTUARY SECURITIES, INC.
July 15, 2003 - September 20, 2004
KFS BD, INC.
August 30, 2002 - July 8, 2003
MORGAN STANLEY DW INC.
March 15, 2000 - September 12, 2002
RAYMOND JAMES & ASSOCIATES, INC.
July 5, 1994 - March 14, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - July 18, 1994
CITIGROUP GLOBAL MARKETS INC.
August 16, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
May 23, 1990 - August 18, 1990
UBS FINANCIAL SERVICES INC.
April 25, 1990 - June 18, 1990
ADVEST, INC.
November 18, 1985 - May 16, 1990
LEHMAN BROTHERS INC.
November 23, 1982 - November 25, 1985
E. F. HUTTON & COMPANY INC
January 28, 1980 - December 9, 1982
LEHMAN BROTHERS INC.
November 17, 1972 - February 11, 1980
J.J.B. HILLIARD, W.L. LYONS, LLC
September 21, 1970 - January 31, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 000
Date: 1/29/1971
General Securities Principal ExaminationSeries 1
Date: 4/7/1970
Registered Representative ExaminationCurrent Firm
SFI INTERNATIONAL, LLC
CRD#: 145510 / SEC#: , 8-67734
Contact information
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.
