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JM

Jeffrey Allen Mccuen

CRD# 5491099·Registered 2008 - 2019
Previously Registered: Being a previously registered professional could mean that Jeffrey 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.

Professional Summary

Jeffrey Allen Mccuen, who also goes by Jeff Mccuen, was a registered financial advisor. Jeffrey was a previously registered financial professional and started their career in finance 2008 - 2019. Jeffrey had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jeff Mccuen

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

FINTECH SECURITIES·CRD# 132873
BD
Atlanta, GA
March 27, 2015 - January 22, 2019
SUNGARD INSTITUTIONAL BROKERAGE INC.·CRD# 8509
BD
Alpharetta, GA
March 11, 2008 - April 9, 2013

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Current Firm

FS
FINTECH SECURITIES

FINANCIAL TECHNOLOGY SECURITIES, LLC | FINTECH SECURITIES

CRD#: 132873 / SEC#: 8-66651
BD
Terminated by SEC on 02/09/2021

Contact Information

Established

Georgia since 06/30/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL INSTITUTIONAL SERVICES, INC.OWNER7551
CHRISTIAN, JASON DAVIDCCO6107516
SEBERT, ANN VANSANTMANAGER, FINOP, PFO, POO4589262

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2008About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2008About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JM
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