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AJ

Aman Jain

Some features on this profile are disabled
CRD#: 4425169
AJ

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.

Aman Jain was a registered financial professional .

Aman is a previously registered financial professional and started their career in finance in 2001. Aman had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 21, 2014 - October 31, 2014

JENNINGS CAPITAL (USA) INC.

BD
CRD#: 141191
CALGARY AB,
Past

May 10, 2013 - January 13, 2014

VENTUM FINANCIAL (US) CORP.

BD
CRD#: 127404
TORONTO,
Past

April 25, 2005 - December 5, 2012

RAYMOND JAMES (USA) LTD.

BD
CRD#: 25853
TORONTO, ONTARIO,
Past

August 17, 2001 - October 15, 2004

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2001
General Securities Representative Examination

Current Firm

JC
JENNINGS CAPITAL (USA) INC.
JENNINGS CAPITAL (USA) INC.

CRD#: 141191 / SEC#: , 8-67368

BD
Terminated by SEC on 12/30/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JENNINGS CAPITAL, INC.OWNER
LAWSON, DAVID ANDREWPRESIDENT4001977
MCINTOSH, ANN ELIZABETHCHIEF COMPLIANCE OFFICER5203667
PECK, NANCY LYNNFINOP5174759

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.

Company Information

JENNINGS CAPITAL (USA) INC.

CRD#: 141191

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