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JT

Jay Michael Tyler

CRD# 864357·Registered 1979 - 2012
Previously Registered: Being a previously registered professional could mean that Jay 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.

Professional Summary

Jay Michael Tyler, who also goes by Jay Michael Tyler, was a registered financial advisor. Jay was a previously registered financial professional and started their career in finance 1979 - 2012. Jay had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 5, Series 7, Series 26 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jay Michael Tyler

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

47 years registered in the securities industry

Current & Past Employments

Past

BISHOP, ROSEN & CO., INC.Past·CRD# 1248
BD
New York, NY
December 1, 2011 - February 6, 2012
GILFORD FINANCIAL CORP.Past·CRD# 126593
RIA
New York, NY
May 12, 2011 - December 16, 2011
GILFORD SECURITIES INCORPORATEDPast·CRD# 8076
BD
New York, NY
May 10, 2011 - December 16, 2011
CAPITAL ONE FINANCIAL ADVISORS LLCPast·CRD# 127236
RIA
Melville, NY
October 21, 2009 - May 6, 2011
CAPITAL ONE INVESTMENT SERVICES LLCPast·CRD# 25658
BD
New York, NY
May 5, 2008 - May 6, 2011
ESSEX NATIONAL SECURITIES, LLCPast·CRD# 25454
BD
Yonkers, NY
May 24, 2002 - April 25, 2008
RAFFERTY CAPITAL MARKETS, LLCPast·CRD# 23682
BD
Garden City, NY
May 29, 2001 - May 28, 2002
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.Past·CRD# 13645
BD
Shelton, CT
November 8, 1996 - December 2, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.Past·CRD# 14549
BD
Nashville, TN
May 3, 1994 - November 15, 1995
FS FUNDS DISTRIBUTOR, INC.Past·CRD# 28036
BD
New York, NY
October 28, 1992 - March 10, 1994
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.Past·CRD# 13645
BD
Shelton, CT
September 26, 1990 - May 4, 1992
ROBERT THOMAS SECURITIES, INCPast·CRD# 10147
BD
St. Petersburg, FL
April 8, 1988 - February 2, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
February 2, 1987 - April 12, 1988
FEDERATED SECURITIES CORP.Past·CRD# 5009
BD
May 25, 1984 - December 16, 1986
PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471
BD
February 28, 1983 - April 5, 1984
E. F. HUTTON & COMPANY INCPast·CRD# 235
BD
June 10, 1982 - March 11, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
April 2, 1979 - March 10, 1982

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Current Firm

BR
BISHOP, ROSEN & CO., INC.

BISHOP, ROSEN & CO., INC.

CRD#: 1248 / SEC#: 8-12140
BD
Terminated by SEC on 11/19/2016

Contact Information

Established

New York since 08/18/1964

Firm Type

Other Types of Legal Formation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ROSEN, ROBERT STEPHENPRESIDENT, DIRECTOR, CEO404271
SCHLESINGER, ISAACVP, SECRETARY, DIRECTOR, CFO, COO, CCO413636
MURPHY, THOMAS JAMESVP839873

Disclosures

Regulatory Event

15

Arbitration

1

Bond

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2009About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1993About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1984About the Series 63 exam

Series 5 — Interest Rate Options Examination

Passed Dec 1982

Series 7 — General Securities Representative Examination

Passed Mar 1979About the Series 7 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Jan 1997About the Series 26 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Aug 1988

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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