Jeffrey M. Deane
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.
Jeffrey Michael Deane, who also goes by Jeff Deane, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1970. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 000 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
November 13, 1990 - June 24, 2010
B. RILEY SECURITIES, INC.
October 29, 1982 - October 4, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1977 - November 24, 1982
E. F. HUTTON & COMPANY INC
November 8, 1974 - February 12, 1977
SHEARSON HAYDEN STONE INC.
April 30, 1974 - November 8, 1974
HAYDEN STONE INC.
October 16, 1973 - May 3, 1974
W. E. HUTTON & CO.
May 5, 1971 - November 1, 1973
ESTABROOK & CO., INC.
August 21, 1970 - May 27, 1971
BURTON DANA WESTERLUND 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 000
Date: 12/8/1969
General Securities Principal ExaminationSeries 1
Date: 12/8/1969
Registered Representative ExaminationCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
