Jacob L. Alpert
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.
Jacob Louis Alpert, who also goes by Jay Louis Alpert, Jay Alpert, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 1971. Jacob had worked at 18 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 000, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2018 - December 31, 2021
ROCKFLEET FINANCIAL SERVICES, INC
March 9, 2015 - November 2, 2016
THE WILLIAMS CAPITAL GROUP, L.P.
September 26, 2013 - June 27, 2014
LEBENTHAL & CO., LLC
August 16, 2012 - October 3, 2012
JACKSON SECURITIES LLC
June 27, 2006 - August 12, 2013
M. R. BEAL & COMPANY
March 14, 2001 - June 20, 2006
STERNE, AGEE & LEACH, INC.
February 2, 1998 - December 31, 2000
APEX CLEARING CORPORATION
November 4, 1996 - February 2, 1998
FLEET SECURITIES INC.
January 23, 1996 - October 21, 1996
TUCKER ANTHONY INCORPORATED
January 19, 1995 - January 4, 1996
RODMAN & RENSHAW INC.
April 23, 1990 - November 16, 1994
GLICKENHAUS & CO.
June 16, 1988 - October 10, 1989
TUCKER ANTHONY INCORPORATED
January 29, 1987 - June 1, 1988
FAHERTY, ALIAGA & COMPANY, INC.
July 29, 1985 - September 29, 1986
GREENWICH PARTNERS, LLC
February 10, 1982 - January 31, 1985
UBS FINANCIAL SERVICES INC.
May 13, 1980 - November 27, 1981
MOSELEY SECURITIES CORPORATION
February 23, 1977 - July 12, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 7, 1972 - July 28, 1972
UMIC, INC.
June 17, 1971 - April 25, 1972
SHEARSON, HAMMILL & CO., INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/17/1977
Registered Representative ExaminationSeries 000
Date: 6/10/1971
General Securities Principal ExaminationCurrent Firm
ROCKFLEET FINANCIAL SERVICES, INC
CRD#: 149325 / SEC#: , 8-68139
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORRIGAN, CATHERINE MARY | PRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO | 1869713 |
| ROCKFLEET FINANCIAL SERVICES INC 401K PLAN | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS II L.P. | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS L.P. | PROXY OWNER |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 450,000 |
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.
