Jason B. Saunders
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 Brock Saunders, who also goes by Jason Saunders, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2006. Jason had worked at 2 firms and has passed the Series 63, SIE, Series 55, Series 3 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
June 16, 2015 - January 3, 2022
JAMES RIVER SECURITIES CORP.
August 29, 2006 - May 10, 2012
CITIGROUP GLOBAL MARKETS 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
Series 55
Date: 5/10/2010
Limited Representative-Equity Trader ExamCurrent Firm
JAMES RIVER SECURITIES CORP.
CRD#: 38477 / SEC#: , 8-48270
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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