Jason R. Hyatt
Professional summary
Jason Russell Hyatt was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Jason had worked at 1 firm, which includes ADVANCED EQUITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2000 - January 16, 2001
ADVANCED EQUITIES, 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
ADVANCED EQUITIES, INC.
CRD#: 35545 / SEC#: 801-67983, 8-46742
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | OWNER | |
| BAHULEYAN, SAJU | FINOP | 2318290 |
| BAHULEYAN, SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | 2318290 |
| BECK, KEITH ENRIQUE | BRANCH MANAGER- CHICAGO | 1690201 |
| BECK, KEITH ENRIQUE | CHIEF COMPLIANCE OFFICER- BROKER DEALER | 1690201 |
| BENDER, BRIAN | MUNICIPAL SECURITIES PRINCIPAL | 1552650 |
| BENDER, BRIAN | ROSFP | 1552650 |
| CHRISTAKOS, BASIL | COMPLIANCE AND BRANCH MANAGER - NEW YORK | 2290795 |
| CROWE, BYRON KEITH | PRESIDENT | 1586181 |
| DAUBENSPECK, KEITH GREGORY | CHAIRMAN AEFC | 1463372 |
| GARTNER, MATTHEW S | COMPLIANCE MANAGER - CHICAGO | 5625600 |
| MECHAM, LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | 5422991 |
| PASCAL, GERALD PALMER | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | 5033755 |
| PASCAL, GERALD PALMER | AML COMPLIANCE OFFICER | 5033755 |
| ROGERS, DAVID SHAWN | CHIEF OPERATING OFFICER | 3081518 |
| ROGERS, DAVID SHAWN | NATIONAL SALES DIRECTOR | 3081518 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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