Individual Firm
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Jay L Gentry
JAY LIKENS GENTRY
CRD#: 2691675
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 2375 East 116th Street
Carmel, IN 46032-3281
Carmel, IN 46032-3281
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7/22/2009
Customer Dispute
Settled
State Registrations
B
Alabama 2/8/2018
B
New Jersey 6/2/2023
B
Arizona 12/14/2015
B
New Mexico 3/8/2022
B
California 5/21/2020
B
New York 5/21/2020
B
Colorado 1/25/2017
B
North Carolina 5/22/2020
B
Connecticut 8/19/2022
B
Ohio 5/27/1997
B
Florida 1/2/2003
B
Oregon 8/21/2012
B
Georgia 3/30/2015
B
Pennsylvania 5/19/2010
B
Illinois 1/2/2003
B
Tennessee 1/26/2017
B
Indiana 5/15/1997
B
Texas 3/14/2017
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Indiana 9/29/1999
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Texas 1/2/2019
B
Maine 7/9/2021
B
Vermont 1/11/2017
B
Maryland 1/15/2016
B
Virginia 2/27/2015
B
Massachusetts 1/10/2023
B
Washington 7/27/2018
B
Missouri 7/1/2015
SRO Registrations
B
B
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Registered with this firm since 9/29/1999
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Registered with this firm since 5/15/1997
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/26/1996 - 03/25/1997 | NEW YORK, NY | |
B | 12/11/1995 - 05/21/1996 | HACKENSACK, NJ |
HACKENSACK, NJ
12/11/1995 - 05/21/1996
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.