Jacob H. Loeffler
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 H. Loeffler was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 1999. Jacob had worked at 1 firm and has passed the Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 1999 - August 7, 2000
WSM HOLDINGS, L.L.C.
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 25
Date: 10/12/1999
NYSE Trading Assistant ExaminationCurrent Firm
WSM HOLDINGS, L.L.C.
CRD#: 31352 / SEC#: , 8-19072
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GONZALEZ, PETER WILLIAM | MEMBER | 1270028 |
| MAHONEY, DANIEL PATRICK | MEMBER | 1367539 |
| MAHONEY, JOSEPH ALEXANDER | MEMBERS' REPRESENTATIVE | 1367538 |
| STOTT, DONALD BISHOP | MEMBER | 723988 |
| SULLIVAN, RAYMOND PETER III | MEMBER | 2319142 |
| CORTESE, THOMAS JOSEPH | COMPLIANCE DIRECTOR | 2350089 |
| HALL, RICHARD STUART | MEMBERS' REPRESENTATIVE | 1940289 |
| MILLER, DAVID BRIAN | MEMBERS' REPRESENTATIVE, FINOP | 705098 |
Red Flags
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