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JW

Jay S. Watnick

Some features on this profile are disabled
CRD#: 459953
JW

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.

Jay Simon Watnick was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 1967. Jay had worked at 12 firms and has passed the Series 63, SIE and Series 1 exams.

top-8-questions

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

December 22, 2015 - June 25, 2018

NORTH RIDGE SECURITIES CORP.

BD
CRD#: 27098
new york, NY
Past

December 17, 2013 - December 22, 2015

VANDERBILT SECURITIES, LLC

BD
CRD#: 5953
WOODBURY, NY
Past

April 5, 2000 - December 16, 2013

RAMPART FINANCIAL SERVICES, INC.

BD
CRD#: 43294
DOYLESTOWN, PA
Past

January 1, 1997 - June 10, 1999

RESRV PARTNERS, INC.

BD
CRD#: 10273
NEW YORK, NY
Past

October 1, 1995 - October 5, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

April 23, 1991 - October 1, 1995

RELIASTAR FINANCIAL MARKETING CORP.

BD
CRD#: 4234
SEATTLE, WA
Past

November 4, 1986 - April 20, 1989

SG EQUITIES CORPORATION

BD
CRD#: 17900
Past

January 11, 1985 - October 20, 1986

TNE INVESTMENT SERVICES CORPORATION

BD
CRD#: 14560
Past

January 14, 1977 - May 2, 1985

PROVIDENT MARKETING CORPORATION

BD
CRD#: 7328
Past

August 26, 1975 - December 26, 1984

MHL INVESTMENTS

BD
CRD#: 2535
Past

January 22, 1971 - January 14, 1977

PROVIDENT NATIONAL EQUITIES, INC.

BD
CRD#: 40
Past

November 21, 1967 - May 30, 1971

WHITEHALL SECURITIES CORPORATION

BD
CRD#: 890

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: 11/22/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 11/20/1967
Registered Representative Examination

Current Firm

NR
NORTH RIDGE SECURITIES CORP.
NORTH RIDGE SECURITIES CORP.

CRD#: 27098 / SEC#: 801-108451, 8-42879

BD
Terminated by SEC on 04/05/2019
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Contact information

Main Address
1895 Walt Whitman Road, Melville, NY 11747-3031
Mailing Address
Phone number
Established
New York since 07/11/1990
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/24/2018)

Direct owners and executive officers

NamePositionCRD#
LEVY, DANIEL ROBERTPRESIDENT/CEO/FINANCIAL OPERATIONS PRINCIPAL/CCO1158953
GRINSPAN, SANDRA JEANEXEC. VICE PRESIDENT/MUNI BOND PRINC.1941931
LEVY, LOUIS MATTHEWCHIEF OPERATING OFFICER6633949

Disclosures

Regulatory Event1

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

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

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