James J. Jacobs
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.
James Jackson Jacobs, who also goes by Jay Jacobs, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 79TO, Series 7 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
November 2, 2021 - December 22, 2025
WOODROCK SECURITIES, L.P.
March 4, 2020 - November 1, 2021
DCMB SECURITIES LLC
October 20, 2004 - June 26, 2006
SMH CAPITAL ADVISORS LLC
October 12, 2004 - June 26, 2006
SANDERS MORRIS LLC
November 28, 2001 - March 24, 2003
DUKE CAPITAL PARTNERS SECURITIES, LLC
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 7TO
Date: 1/29/2022
General Securities Representative ExaminationSeries 79TO
Date: 3/2/2020
Investment Banking Registered Representative ExaminationCurrent Firm
WOODROCK SECURITIES, L.P.
CRD#: 133653 / SEC#: , 8-66753
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
