Ricki JayeCRD Number: 1091766
Current Firm: First Allied Advisory Services, Inc.
Ricki Jaye (CRD# 1091766) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Longwood, FL and has over 13 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Private Client Group Asset Management||Bedminster, NJ||Dec 2015 - Current||2|
|First Allied Advisory Services, Inc.||Chesterfield, MO||Nov 2010 - Current||7|
|First Allied Securities, Inc.||San Diego, CA||Jul 2006 - Current||11|
|Raj Consultants, Inc.||Longwood, FL||Jul 1994 - Current||23|
|Southwest Financial Group||Longwood, FL||Jan 2009 - Jun 2015||6|
|Greenbook Investment Management, Inc.||San Diego, CA||Sep 2004 - Nov 2010||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2006|
|S65||NASAA Investment Advisors Law Examination||Jan 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management4,440MILLIONS
Total Number of Accounts26,339ACCOUNTS
Average Account Value$168,585
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV