Michael J. Jacobs
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.
Michael Joe Jacobs, who also goes by Mike Jacobs, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2016 - November 23, 2016
ROTHSCHILD LIEBERMAN LLC
January 23, 2013 - July 13, 2016
HALEN CAPITAL
October 19, 2011 - January 22, 2013
FURTHER LANE SECURITIES, L.P.
April 1, 2011 - October 19, 2011
CAPITAL GUARDIAN, LLC
May 3, 2010 - April 25, 2011
SECUREVEST FINANCIAL GROUP
November 10, 2008 - April 26, 2010
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
November 10, 2008 - April 26, 2010
NEWEDGE SECURITIES, LLC
October 14, 2004 - October 22, 2008
ADVISORS ASSET MANAGEMENT, INC.
January 3, 2001 - October 22, 2008
ADVISORS ASSET MANAGEMENT, INC.
October 24, 2000 - December 31, 2000
STIFEL INDEPENDENT ADVISORS, LLC
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
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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