Jay A. Davis
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.
Jay Allen Davis, who also goes by Jay A Davis, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1968. Jay had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2021 - January 25, 2024
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
July 15, 2016 - January 25, 2024
EMPIRE ASSET MANAGEMENT COMPANY
February 24, 1975 - July 15, 2016
BISHOP, ROSEN & CO., INC.
December 2, 1968 - April 3, 1975
LOEB RHOADES & CO
Primary Firm SEC Registration
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
CRD#: 146097 / SEC#: 801-106958
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: 1/2/2023
General Securities Representative ExaminationPC
Date: 2/1/1979
AMEX Put and Call ExamSeries 1
Date: 11/22/1968
Registered Representative ExaminationCurrent Firm
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
CRD#: 146097 / SEC#: 801-106958
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,040 |
| AUM (Assets Under Management) | $ 688,400,000 |
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.
