Sameer Jain
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.
Sameer Jain was a registered financial professional .
Sameer is a previously registered financial professional and started their career in finance in 2011. Sameer had worked at 3 firms and has passed the Series 66, SIE 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
July 7, 2016 - August 23, 2016
MERRIMAN CAPITAL, INC.
September 5, 2014 - October 24, 2014
REALTY CAPITAL SECURITIES, LLC
September 11, 2012 - November 30, 2012
REALTY CAPITAL SECURITIES, LLC
October 13, 2011 - September 19, 2012
UBS FINANCIAL SERVICES INC.
May 11, 2011 - September 19, 2012
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
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.
