Jackson W. Cate
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.
Jackson Webb Cate JR was a registered financial advisor .
Jackson is a previously registered financial advisor and started their career in finance in 1968. Jackson had worked at 6 firms and has passed the Series 63, PC, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - March 9, 2005
A. G. EDWARDS & SONS, INC.
May 24, 1990 - March 9, 2005
A. G. EDWARDS & SONS, INC.
May 14, 1988 - June 15, 1990
LEHMAN BROTHERS INC.
August 28, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 12, 1978 - August 25, 1987
UBS FINANCIAL SERVICES INC.
August 14, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 7, 1968 - October 9, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
PC
Date: 9/15/1987
AMEX Put and Call ExamSeries 5
Date: 11/9/1981
Interest Rate Options ExaminationSeries 1
Date: 2/5/1968
Registered Representative ExaminationSeries 40
Date: 8/30/1976
Registered Principal ExaminationSeries 12
Date: 8/6/1976
NYSE Branch Manager ExaminationCurrent Firm
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
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.
