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BJ

Ben Jacoby

WOOD WARREN & CO. SECURITIES
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 5993651
BJ

Professional summary

Ben Jacoby is a registered financial professional currently at WOOD WARREN & CO. SECURITIES, LLC located in San Francisco, California.

Ben is registered as a RR (Registered Representative) and started their career in finance in 2012. Ben has worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

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) - BD

Click below to view Ben Jacoby'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®
None

Experience

Current

February 6, 2014 - Present

WOOD WARREN & CO. SECURITIES, LLC

Office #1: One Sansome Street, Suite 3500, San Francisco, CA 94104Office #2: One Sansome Street, Suite 3500, San Francisco, CA 94104
BD
CRD#: 136526
San Francisco, CA
Past

January 26, 2012 - January 30, 2014

CCA CAPITAL LLC

BD
CRD#: 154837
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(2/6/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/22/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WW
WOOD WARREN & CO. SECURITIES, LLC
WOOD WARREN & CO. SECURITIES, LLC

CRD#: 136526 / SEC#: , 8-67024

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Sansome Street, Suite 3500, San Francisco, CA 94104
Mailing Address
One Sansome Street, Suite 3500, San Francisco, CA 94104
Phone number
(510) 420-3850
Established
California since 06/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WOOD WARREN & CO. LPMEMBER
POSTREL, HELENE BERSONFINOP/CFO2240945
SHIMER, DONALD ALBERT JRPRINCIPAL
WOOD, JAMES ROGERCEO, CCO

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

WOOD WARREN & CO. SECURITIES, LLC

CRD#: 136526San Francisco, CA 94104

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