JM
Jay J. Merrill
CAPITAL ANALYSTS
WORCESTER, MA 01609
Some features on this profile are disabled
CRD#: 5719089
JM
Professional summary
Jay Joseph Merrill, CIMA®, who also goes by Jay Merrill, John Joseph Merrill, John Merrill, is a registered financial advisor currently at CAPITAL ANALYSTS located in Worcester, Massachusetts and LINCOLN INVESTMENT located in Worcester, Massachusetts.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Jay has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Merrill | John Joseph Merrill | John Merrill
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.
PRUDENTIAL LIFE INSURANCE POSITION: Soliciting Life Insurance Business NATURE: Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2016 ADDRESS: 751 Broad St, Newark NJ 07102 DESCRIPTION: I am soliciting life insurance business for Prudential BANNER LIFE INSURANCE POSITION: I intend to sell life insurance for this company NATURE: Term Life Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/12/2014 ADDRESS: 3275 Bennett Creek Avenue, Frederick MD 21704, United States DESCRIPTION: I am selling life insurance that is placed through a general agent and not Lincoln Investment. BNI MASS POSITION: Member NATURE: Networking Group INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/19/2015 ADDRESS: 111 Boston Post Rd, Sudbury MA 01776, United States DESCRIPTION: I am a Member of the chapter that attempts to network to create more business opportunities MUTUAL OF OMAHA POSITION: Insurance Agent NATURE: Soliciting Insurance Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/15/2016 ADDRESS: 330 Mutual of Omaha Plaza, Omaha NE 68175, United States DESCRIPTION: I am soliciting Life and Long Term Care Insurance Business LINCOLN NATIONAL LIFE INSURANCE POSITION: I am soliciting Life Insurance for them. NATURE: Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2020 ADDRESS: 1300 South Clinton St, Fort Wayne IN 46802-3506, United States DESCRIPTION: Life Insurance sales PRINCIPAL LIFE INSURANCE POSITION: Independent Contractor - Life insurance Sales NATURE: Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/20/2015 ADDRESS: One New York Plaza, New York NY 10004, United States DESCRIPTION: I am soliciting life insurance business for prudential PAXTON LITTLE LEAGUE POSITION: I will be the treasurer for the upcoming baseball year. NATURE: Little League Baseball INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2021 ADDRESS: 697 Pleasant St, Paxton MA 01612, United States DESCRIPTION: I will be responsible for managing expenses, paying bills, and reporting to the board on a monthly basis. MCGRATH & MERRILL ASSOCIATES, INC. POSITION: Treasurer, Secretary, 50% owner NATURE: Independent Financial Advisor Office INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/02/2023 ADDRESS: 57 Cedar St, Worcester MA 01609, United States DESCRIPTION: Sara McGrath and myself are in the process of purchasing the independent branch of Clifford & Rano Associates, Inc. We will continue to do business as Clifford & Rano, Inc. This new company is for the sole purpose of management and operation of the branch. We will not be using the corp for operation purposes until January 1 2023.
CRS (Client Relationship Summary) - RIA
Click below to view Jay Joseph Merrill's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 22, 2014 - Present
CAPITAL ANALYSTS
Office #1: 57 Cedar Street, Worcester, MA 01609RIA
CRD#: 162200
WORCESTER, MA
Current
April 21, 2014 - Present
LINCOLN INVESTMENT
Office #1: 57 Cedar Street, Worcester, MA 01609RIA
BD
CRD#: 519
Worcester, MA
Past
August 21, 2014 - December 31, 2021
LINCOLN INVESTMENT
RIA
CRD#: 519
FORT WASHINGTON, PA
Past
October 15, 2009 - April 21, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/28/2020)
RR
California(2/14/2024)
RR
Colorado(2/14/2024)
RR
Connecticut(5/21/2014)
RR
Florida(1/14/2015)
RR
Georgia(2/9/2024)
RR
Kentucky(1/28/2020)
RR
Maine(8/21/2014)
RR
Maryland(8/26/2021)
RR
Massachusetts(4/21/2014)
IAR
Massachusetts(9/22/2014)
RR
Mississippi(2/3/2023)
RR
New Hampshire(5/23/2014)
RR
New Jersey(1/21/2015)
RR
New York(4/21/2014)
RR
North Carolina(12/18/2024)
RR
Ohio(7/9/2024)
RR
Pennsylvania(6/18/2024)
RR
Rhode Island(3/11/2020)
RR
South Carolina(7/11/2024)
RR
Virginia(1/4/2019)
RR
Washington(2/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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
CAPITAL ANALYSTS
CRD#: 162200Worcester, MA 01609TRUST BUT VERIFY
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