Jason M. Spencer
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.
Jason Michael Spencer, who also goes by Jason Michael Simpson, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2004. Jason had worked at 8 firms and has passed the Series 65, Series 63, 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
June 27, 2011 - December 23, 2011
SECURITIES CORPORATION OF AMERICA
December 9, 2008 - December 1, 2010
BROOKSTONE SECURITIES, INC.
May 31, 2008 - December 17, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
October 16, 2007 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
June 6, 2006 - July 6, 2007
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 6, 2005 - May 16, 2006
CHASE INVESTMENT SERVICES CORP.
May 24, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 26, 2004 - May 26, 2005
CAPITAL SELECT INVESTMENTS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
SECURITIES CORPORATION OF AMERICA
CRD#: 15286 / SEC#: , 8-31948
Contact information
Documents
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.
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