Jules C. Silver
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.
Jules Charles Silver was a registered financial professional .
Jules is a previously registered financial professional and started their career in finance in 1967. Jules had worked at 7 firms and has passed the Series 63, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 1997 - November 30, 2006
FINANCIAL WEST GROUP
August 29, 1995 - December 24, 1996
INTERNATIONAL SECURITIES GROUP, INC.
January 15, 1990 - March 20, 1995
ROSE SECURITIES CORPORATION
February 4, 1988 - January 10, 1990
PROFESSIONAL ASSET SECURITIES, INC.
July 26, 1985 - April 16, 1986
ROTHSCHILD REGISTRY INTERNATIONAL, INC.
January 14, 1981 - July 17, 1985
UBS FINANCIAL SERVICES INC.
April 18, 1967 - May 30, 1979
E. F. HUTTON & COMPANY 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
Series 000
Date: 4/17/1967
General Securities Principal ExaminationSeries 1
Date: 4/17/1967
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
