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JJ

Jennifer Gin Yee Jago

CRD# 6031887·Registered 2014 - 2016
Previously Registered: Being a previously registered professional could mean that Jennifer 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

Jennifer Gin Yee Jago, who also goes by Jennifer Gin Yee Lau, was a registered financial advisor. Jennifer was a previously registered financial professional and started their career in finance 2014 - 2016. Jennifer had worked at 2 firms and has passed the 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

Jennifer Gin Yee Lau

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

12 years in the financial services industry

Current & Past Employments

RICHARDSON GMP (USA) CORP.·CRD# 104204
BD
Vancouver, British Columbia
March 30, 2015 - February 3, 2016
RAYMOND JAMES (USA) LTD.·CRD# 25853
BD
Vancouver
June 21, 2014 - November 24, 2014

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Current Firm

RG
RICHARDSON GMP (USA) CORP.

BLACKMONT CAPITAL CORP. | RICHARDSON GMP (USA) CORP. | MACQUARIE PRIVATE WEALTH CORP | FIRST ASSOCIATES INVESTMENTS (USA) INC.

CRD#: 104204 / SEC#: 8-52658
BD
Terminated by SEC on 05/17/2016

Contact Information

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
RICHARDSON GMP LIMITEDSHAREHOLDER—
BOWERING, DANIEL DAVIDDIRECTOR, CHIEF COMPLIANCE OFFICER5491720
LEXOVSKY, JAMES THOMASCHIEF EXECUTIVE OFFICER, FINOP AND CFO.2835008
MARSH, ANDREW JOHNDIRECTOR6145853
MUCHNIK, ELLIOTDIRECTOR6145854

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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.

SIE — Securities Industry Essentials Examination

Passed Feb 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2014About 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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