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JY

Jennifer L. Yount

SIDOTI & COMPANY
New York, NY 10036
Some features on this profile are disabled
CRD#: 4942543
JY

Professional summary

Jennifer Lynne Yount, who also goes by Jennifer Lynne Jones, Jennifer L Yount, Jennifer Yount, is a registered financial professional currently at SIDOTI & COMPANY, LLC located in New York, New York.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2005. Jennifer has worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 16, Series 7, Series 24, Series 4 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Lynne Jones | Jennifer L Yount | Jennifer Yount

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 Jennifer Lynne Yount's 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

May 9, 2024 - Present

SIDOTI & COMPANY, LLC

Office #1: 1177 Avenue Of Americas Floor 5, New York, NY 10036Office #2: 1177 Avenue Of Americas Floor 5, New York, NY 10036
BD
CRD#: 102860
New York, NY
Past

October 2, 2023 - February 6, 2024

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

November 15, 2021 - September 5, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

November 12, 2021 - September 20, 2023

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

October 19, 2021 - September 20, 2023

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 7, 2021 - October 5, 2021

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

June 1, 2005 - January 7, 2021

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
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
North Carolina
(5/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 3/8/2007
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/10/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/13/2020
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/22/2011
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

S&
SIDOTI & COMPANY, LLC
SIDOTI & COMPANY, LLC | SIDOTI RESEARCH SERVICES, LLC | SIDOTI RESEARCH SERVICES

CRD#: 102860 / SEC#: , 8-52141

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

Main Address
1177 Avenue Of Americas Floor 5, New York, NY 10036
Mailing Address
P.o. Box 5337, New York, NY 10185
Phone number
(212) 297-0001
Established
Delaware since 03/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SIDOTI HOLDING COMPANY, LLCSOLE MEMBER
FISCHER, HOWARD STEVENFINOP / PFO / PPO1637077
SIDOTI, PETER THOMASCEO, CCO1359648

Disclosures

Regulatory Event3

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

SIDOTI & COMPANY, LLC

CRD#: 102860New York, NY 10036

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