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Detailed Report
JAMES JAY ROBINSON JR
CRD#: 1579422
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Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200120022003200420052006200720082009IAHOPP INVESTMENT ADVISORS, INC. (CRD# 128831)2004 - 2007 (2 years)IA1ST GLOBAL ADVISORS INC (CRD# 111133)2003 - 2006 (2 years)IABERTHEL FISHER & COMPANY FINAN... (CRD# 13609)2003 - 2003 (<1 year)IACONTINENTAL CAPITAL INVESTMENT... (CRD# 2864)2002 - 2003 (<1 year)IAALLMERICA INVESTMENT MANAGEMEN... (CRD# 105796)2000 - 2002 (2 years)
Disclosure(s)
View By:
4/24/2008
Regulatory
Final
Previous Registration(s)
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 09/02/2004 - 02/08/2007 HOPP INVESTMENT ADVISORS, INC. (CRD#:128831) ELGIN, IL
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 11/07/2003 - 10/06/2006 1ST GLOBAL ADVISORS INC (CRD#:111133) ELGIN, IL
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 03/31/2003 - 10/31/2003 BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD#:13609) ELGIN, IL
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 10/02/2002 - 03/31/2003 CONTINENTAL CAPITAL INVESTMENT SERVICES (CRD#:2864) ELGIN, IL
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 05/16/2000 - 11/11/2002 ALLMERICA INVESTMENT MANAGEMENT CO INC (CRD#:105796) DES PLAINES, IL
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.