Jacob A. Dubois
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 Asa Dubois, who also goes by Jake Asa Dubois, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2002. Jacob had worked at 5 firms and has passed the Series 63, Series 66, 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
March 9, 2015 - February 10, 2017
REYNOLDS ADVISORY PARTNERS,LLC
August 6, 2013 - February 5, 2015
COLLIERS SECURITIES LLC
September 26, 2011 - February 5, 2015
COLLIERS SECURITIES LLC
May 11, 2010 - August 30, 2011
WESTPARK CAPITAL, INC.
May 10, 2010 - August 30, 2011
WESTPARK CAPITAL, INC.
January 28, 2008 - February 26, 2010
MCGLADREY CAPITAL MARKETS, LLC
August 1, 2003 - November 16, 2007
MCGLADREY CAPITAL MARKETS, LLC
June 5, 2002 - July 2, 2003
WEDBUSH SECURITIES 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
REYNOLDS ADVISORY PARTNERS,LLC
CRD#: 147603 / SEC#: , 8-67918
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAP BD HOLDING, LLC | MEMBER | |
| REYNOLDS, DOUGLAS EDWARD | CEO, CCO, FINOP, PRINCIPAL | 1711619 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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