Jay J. Buck
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 Joseph Buck was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1977. Jay had worked at 6 firms and has passed the Series 63, Series 3, Series 5, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1999 - May 26, 2011
RLSP ASSOCIATES, LLC
August 20, 1993 - September 4, 1998
GFONG ASSOCIATES, INC.
March 14, 1988 - October 8, 1991
UBS SECURITIES LLC
June 26, 1984 - December 21, 1988
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 5, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
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 5
Date: 10/31/1981
Interest Rate Options ExaminationPC
Date: 8/15/1977
AMEX Put and Call ExamCurrent Firm
RLSP ASSOCIATES, LLC
CRD#: 47220 / SEC#: , 8-51716
Contact information
Documents
Red Flags
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