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JJ

James J. Jacobs

WOODROCK SECURITIES, L.P.
Houston, TX 77027
Some features on this profile are disabled
CRD#: 4474251
JJ

Professional summary

James Jackson Jacobs, who also goes by Jay Jacobs, is a registered financial professional currently at WOODROCK SECURITIES, L.P. located in Houston, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 79TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Jacobs

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) - BD

Click below to view James Jackson Jacobs's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 2, 2021 - Present

WOODROCK SECURITIES, L.P.

Office #1: 4265 San Felipe Street, Suite 600, Houston, TX 77027
BD
CRD#: 133653
Houston, TX
Past

March 4, 2020 - November 1, 2021

DCMB SECURITIES LLC

BD
CRD#: 146578
HOUSTON, TX
Past

October 20, 2004 - June 26, 2006

SMH CAPITAL ADVISORS LLC

RIA
CRD#: 108344
HOUSTON, TX
Past

October 12, 2004 - June 26, 2006

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

November 28, 2001 - March 24, 2003

DUKE CAPITAL PARTNERS SECURITIES, LLC

BD
CRD#: 112765
CHARLOTTE, NC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(11/2/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/14/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/4/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/2/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/25/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WOODROCK SECURITIES, L.P.
WOODROCK SECURITIES, L.P.

CRD#: 133653 / SEC#: , 8-66753

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4265 San Felipe Street, Suite 600, Houston, TX 77027
Mailing Address
4265 San Felipe Street, Suite 600, Houston, TX 77027
Phone number
(713) 654-0912
Established
Texas since 12/28/2003
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WOODROCK LLCLIMITED PARTNER
DENNIS, JOHN PURNELL IIIDESIGNATED PRINCIPAL/CO-CCO2038115
NUNN, RICHARD ANDREWFINOP/ CHIEF FINANCIAL OFFICER/CO-CCO1016528
WOODROCK HOLDINGS GP, LLCGENERAL PARTNER

Disclosures

Regulatory Event2

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

WOODROCK SECURITIES, L.P.

CRD#: 133653Houston, TX 77027

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