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JP

Jason L. Pintus

Some features on this profile are disabled
CRD#: 5239408
JP

Professional summary

Jason Lee Pintus was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jason is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Jason had worked at 3 firms, which includes MONMOUTH CAPITAL MANAGEMENT LLC, MML INVESTORS SERVICES LLC, LEGEND SECURITIES INC..

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

January 31, 2020 - April 24, 2023

MONMOUTH CAPITAL MANAGEMENT LLC

BD
CRD#: 290248
Point Pleasant Beach, NJ
Past

May 25, 2018 - November 26, 2019

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Edison, NJ
Past

May 6, 2015 - November 8, 2016

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Tinton Falls, NJ
Past

November 13, 2009 - April 10, 2015

LEGEND SECURITIES, INC.

BD
CRD#: 44952
Tinton Falls, NJ

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: 11/25/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/4/2021
General Securities Principal Examination

Current Firm

MC
MONMOUTH CAPITAL MANAGEMENT LLC
MONMOUTH CAPITAL MANAGEMENT LLC

CRD#: 290248 / SEC#: , 8-70025

BD
Terminated by SEC on 08/14/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 08/22/2017
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MONMOUTH CAPITAL HOLDINGS LLCPARENT
CLARK, RAYMOND WILLIAMCHIEF COMPLIANCE OFFICER2865619
MEYER, ROBERT STEVENCEO3074785
NAVEED, HASNAINFIN-OP7004810

Disclosures

Regulatory Event2
Arbitration1

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

MONMOUTH CAPITAL MANAGEMENT LLC

CRD#: 290248

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