Jay M. Tyler
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 Michael Tyler, who also goes by Jay Michael Tyler, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1979. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2011 - February 6, 2012
BISHOP, ROSEN & CO., INC.
May 12, 2011 - December 16, 2011
GILFORD FINANCIAL CORP.
May 10, 2011 - December 16, 2011
GILFORD SECURITIES INCORPORATED
October 21, 2009 - May 6, 2011
CAPITAL ONE FINANCIAL ADVISORS LLC
May 5, 2008 - May 6, 2011
CAPITAL ONE INVESTMENT SERVICES LLC
May 24, 2002 - April 25, 2008
ESSEX NATIONAL SECURITIES, LLC
May 29, 2001 - May 28, 2002
RAFFERTY CAPITAL MARKETS, LLC
November 8, 1996 - December 2, 1999
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
May 3, 1994 - November 15, 1995
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 28, 1992 - March 10, 1994
FS FUNDS DISTRIBUTOR, INC.
September 26, 1990 - May 4, 1992
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
April 8, 1988 - February 2, 1990
ROBERT THOMAS SECURITIES, INC
February 2, 1987 - April 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 1984 - December 16, 1986
FEDERATED SECURITIES CORP.
February 28, 1983 - April 5, 1984
PRUDENTIAL EQUITY GROUP, LLC
June 10, 1982 - March 11, 1983
E. F. HUTTON & COMPANY INC
April 2, 1979 - March 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH 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: 12/17/1982
Interest Rate Options ExaminationSeries 8
Date: 8/4/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
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.
