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Detailed Report
JAY JULES GRUENEBAUM
CRD#: 2351888
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Previous Investment Adviser
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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
20022004200620082010201220142016IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2013 - 2016 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2013 (5 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2007 (5 years)
Disclosure(s)
View By:
10/10/2016
Regulatory
Final
5/23/2016
Employment Separation After Allegations
5/4/2016
Customer Dispute
Settled
4/21/2016
Customer Dispute
Closed-No Action
5/29/2013
Customer Dispute
Denied
3/26/2013
Employment Separation After Allegations
Previous Registration(s)
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 03/28/2013 - 06/16/2016 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ZANESVILLE, OH
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 08/28/2007 - 04/12/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ZANESVILLE, OH
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 11/06/2001 - 08/29/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) ZANESVILLE, OH
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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.