Jacob Aiken-phillips

MELIUS RESEARCH

New York, NY 10019

Some features on this profile are disabled

CRD#: 7575371

Professional summary

Jacob Aiken-phillips is a registered financial advisor currently at MELIUS RESEARCH located in New York, New York.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Jacob has worked at 4 firms and has passed the Series 63, Series 87, Series 86, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Jacob Aiken-phillips'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

August 8, 2024 - Present

MELIUS RESEARCH

Office #1: 152 W. 57th St. 6th Floor, New York, NY 10019

RIA

CRD#: 312314

New York, NY

Past

March 7, 2024 - August 7, 2024

TD SECURITIES (USA) LLC

CRD#: 18476

New York, NY

Past

June 9, 2023 - April 8, 2024

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

August 9, 2022 - June 30, 2023

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/15/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 8/27/2022

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/24/2022

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7TO

Date: 8/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/10/2022

Securities Industry Essentials Examination

Current Firm

MELIUS RESEARCH

MELIUS RESEARCH | MELIUS RESEARCH LLC

CRD#: 312314 / SEC#:

New York

Registered Investment Advisory firm - (3/11/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

152 W. 57th St. 6th Floor, New York, NY 10019

Mailing Address

Phone number

(212) 503-6205

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jacob Aiken-phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Aiken-phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

MELIUS RESEARCH

TD SECURITIES (USA) LLC

COWEN AND COMPANY

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/2022

Series 87

Date: 8/27/2022

Series 86

Date: 8/24/2022

Series 7TO

Date: 8/8/2022

SIE

Date: 6/10/2022

Current Firm

MELIUS RESEARCH

Contact information

Documents

Red Flags

Company Information

MELIUS RESEARCH

TRUST BUT VERIFY

Similar Advisors