Jordan T. Frey
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.
Jordan Taylor Frey, who also goes by Jordan T Frey, Jordan Frey, was a registered financial professional .
Jordan is a previously registered financial professional and started their career in finance in 2009. Jordan had worked at 5 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
January 15, 2016 - October 28, 2016
LEGEND SECURITIES, INC.
January 30, 2015 - December 22, 2015
NEWBRIDGE SECURITIES CORPORATION
March 18, 2013 - February 25, 2015
SPARTAN CAPITAL SECURITIES, LLC
October 22, 2012 - March 20, 2013
JOHN THOMAS FINANCIAL
October 22, 2009 - November 9, 2012
LAIDLAW & COMPANY (UK) LTD.
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
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
