Jacob B. Eisen
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.
Jacob Benjamin Eisen, who also goes by Jacob Benjamin Eisen, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2004. Jacob had worked at 6 firms and has passed the Series 66, Series 65, SIE 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
July 26, 2016 - February 15, 2017
MAXIM FINANCIAL ADVISORS LLC
June 5, 2015 - February 23, 2017
MAXIM GROUP LLC
October 19, 2012 - June 16, 2015
PNC FIG ADVISORY, INC.
October 21, 2010 - March 6, 2012
HEADWATERS BD, LLC
April 29, 2009 - August 31, 2009
MCCLENDON, MORRISON & PARTNERS, INC.
January 21, 2004 - May 12, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
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
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 753 |
| AUM (Assets Under Management) | $ 396,466,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
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.
