Adam J. Ross
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.
Adam Jay Ross, who also goes by Adam Jay Malen, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2004. Adam had worked at 7 firms and has passed the Series 65, Series 63, Series 31 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
January 2, 2013 - December 31, 2016
ROSS CAPITAL INVESTMENTS, INC.
February 5, 2010 - April 29, 2011
KOVACK ADVISORS, INC.
January 6, 2010 - April 29, 2011
KOVACK SECURITIES INC.
June 1, 2009 - December 31, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 7, 2007 - October 13, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 2007 - December 31, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 15, 2005 - May 10, 2007
CITIGROUP GLOBAL MARKETS INC.
February 24, 2005 - May 10, 2007
CITIGROUP GLOBAL MARKETS INC.
September 2, 2004 - January 3, 2005
HERBERT J. SIMS & CO, INC.
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
ROSS CAPITAL INVESTMENTS, INC.
CRD#: 164630 / SEC#:
Contact information
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.
