Jalal Yassaee

LINCOLN DOUGLAS INVESTMENTS

Mt. Vernon, OH 43050

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CRD#: 861737

Professional summary

Jalal Yassaee is a registered financial professional currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Mt. Vernon, Ohio.

Jalal is registered as a RR (Registered Representative) and started their career in finance in 1979. Jalal has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Jalal Yassaee's CRS (Customer Relationship Summary).

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

May 18, 2012 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050

RIA

CRD#: 155578

Mt. Vernon, OH

Past

July 23, 2002 - May 21, 2012

SAXONY SECURITIES, INC.

CRD#: 115547

DEMAREST, NJ

Past

January 29, 1998 - July 23, 2002

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

HARTVILLE, OH

Past

June 30, 1992 - December 31, 1997

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

February 1, 1990 - October 9, 1991

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

April 19, 1988 - February 10, 1990

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

May 14, 1987 - April 22, 1988

PHILIPS, APPEL & WALDEN, INC.

CRD#: 659

Past

August 9, 1985 - May 29, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 13, 1984 - July 26, 1985

M. AMARICO, INC.

CRD#: 7745

Past

May 7, 1979 - July 27, 1984

E. G. FRANCES CO., INC.

CRD#: 7797

Past

January 29, 1979 - May 3, 1979

J.P. MORGAN SECURITIES LLC

CRD#: 79

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/21/2012)

Maryland
(5/18/2012)

New Jersey
(5/18/2012)

New York
(5/18/2012)

Exams

State Security Law Exam

Series 63

Date: 1/17/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/28/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 10/21/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 1/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/1/1979

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578 / SEC#: 801-72438, 8-68728

RIA

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/20/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (11/15/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1051 Newark Rd, Mount Vernon, OH 43050

Mailing Address

1051 Newark Rd, Mt. Vernon, OH 43050

Phone number

(740) 397-1397

Established

Ohio since 09/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
DENNIS, KENNETH EARL	CEO	2297497
MANSFIELD, DOUGLAS MARR	GENERAL COUNSEL, CORPORATE SECRETARY
BULLOCK, BRANDON LEE	CFO, FINOP	4617848
MOHNEY, BRIAN EUGENE	CHIEF COMPLIANCE OFFICER / AMLCO	2890043

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 97,644,384

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.

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Firm Stability Insights

Jalal Yassaee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jalal Yassaee's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAXONY SECURITIES, INC.

CAPITAL SECURITIES OF AMERICA, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

GRUNTAL & CO., L.L.C.

PHILIPS, APPEL & WALDEN, INC.

LEHMAN BROTHERS INC.

M. AMARICO, INC.

E. G. FRANCES CO., INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/17/1986

SIE

Date: 10/1/2018

Series 3

Date: 4/28/1986

Series 15

Date: 10/21/1985

Series 7

Date: 1/20/1979

Series 24

Date: 10/28/1991

Series 4

Date: 1/1/1979

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

LINCOLN DOUGLAS INVESTMENTS, LLC

TRUST BUT VERIFY

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