Jackie L. Jen
Professional summary
Jackie Lee Jen, who also goes by Jackie Jen, Jackie Lee Jen, Jackie Jen Richards, is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Silver Spring, Maryland.
Jackie is registered as a RR (Registered Representative) and started their career in finance in 2013. Jackie has worked at 6 firms and has passed the Series 7TO, SIE, Series 7, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jackie Lee Jen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2024 - Present
ULLICO INVESTMENT COMPANY, LLC
Office #1: 8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910January 23, 2023 - October 24, 2023
EC SECURITIES LLC
February 19, 2019 - June 18, 2020
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
January 8, 2019 - February 6, 2019
TCG CAPITAL MARKETS L.L.C.
December 1, 2015 - February 6, 2019
TCG SECURITIES, L.L.C.
June 3, 2013 - November 30, 2015
B. RILEY SECURITIES, INC.
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationFINRA
Current Firm
ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195 / SEC#: , 8-66906
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULLICO INC. | SOLE SHAREHOLDER | |
| HUMPHREY, CATHY ANN | CHIEF OPERATIONS OFFICER | 4899999 |
| HUMPHREY, CATHY ANN | DIRECTOR | 4899999 |
| LAROCQUE, RICHARD FRANCIS | CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC | 2874559 |
| LINEHAN, JOSEPH RICHARD | GEN. SEC. PRINC.; AND PRESIDENT | 4951041 |
| LINEHAN, JOSEPH RICHARD | DIRECTOR | |
| YU, YINAN | CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR | 7787306 |
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.
