Marc M. Jacobs
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.
Marc M Jacobs was a registered financial advisor .
Marc is a previously registered financial advisor and started their career in finance in 1982. Marc had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2013 - December 1, 2020
AMERICAN INVESTORS COMPANY
December 9, 2008 - December 2, 2013
GBS FINANCIAL CORP.
August 20, 2008 - December 12, 2008
EPLANNING SECURITIES, INC.
June 13, 2005 - August 25, 2008
FIRST ALLIED SECURITIES, INC.
January 2, 2003 - June 13, 2005
ROUND HILL SECURITIES, INC.
July 8, 1997 - January 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 5, 1993 - January 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1988 - June 15, 1988
LEHMAN BROTHERS INC.
April 12, 1988 - February 4, 1993
MORGAN STANLEY DW INC.
December 7, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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: 10/23/2022
General Securities Representative ExaminationSeries 15
Date: 5/15/1996
Foreign Currency Options ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
