Jay S. Weinberger

HOULIHAN LOKEY CAPITAL

NEW YORK, NY 10167

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CRD#: 4230157

Professional summary

Jay Steven Weinberger is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in New York, New York.

Jay is registered as a RR (Registered Representative) and started their career in finance in 2000. Jay has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2008 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 245 Park Avenue 20th Floor, New York, NY 10167

CRD#: 17708

NEW YORK, NY

Past

April 23, 2007 - June 14, 2007

LEDGEMONT CAPITAL MARKETS LLC

CRD#: 119340

NEW YORK, NY

Past

February 26, 2002 - March 30, 2005

KELLOGG CAPITAL GROUP LLC

CRD#: 35032

NEW YORK, NY

Past

August 21, 2000 - September 28, 2001

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(2/11/2008)

Exams

State Security Law Exam

Series 63

Date: 2/9/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/13/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Jay S. Weinberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jay Steven Weinberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEDGEMONT CAPITAL MARKETS LLC

KELLOGG CAPITAL GROUP LLC

APEX CLEARING CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/9/2008

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/13/2000

Series 7

Date: 8/19/2000

Series 24

Date: 1/2/2023

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

TRUST BUT VERIFY

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