Jay Han
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.
Jay Han was a registered financial advisor .
Jay is a previously registered financial advisor and started their career in finance in 2000. Jay had worked at 4 firms and has passed the Series 66, Series 31 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
April 19, 2011 - January 2, 2014
WESTFULLER ADVISORS, LLC
October 6, 2009 - January 2, 2014
CELADON FINANCIAL GROUP LLC
July 2, 2003 - October 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2003 - October 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2000 - April 7, 2003
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
WESTFULLER ADVISORS, LLC
CRD#: 155054 / SEC#: 801-111864
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
WESTFULLER ADVISORS, LLC
CRD#: 155054 / SEC#: 801-111864
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 2,135,363,056 |
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.
