Individual Firm
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JASON B SINCLAIR
JASON SINCLAIR
CRD#: 3228468
IA
B
MORGAN STANLEYCRD#: 149777 Scottsdale, AZ
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Arizona 8/30/2019
B
Massachusetts 8/30/2019
IA
Arizona 3/28/2024
B
Montana 3/1/2024
B
Arkansas 9/3/2019
B
Nevada 8/30/2019
B
California 8/30/2019
B
New Jersey 1/4/2022
IA
California 8/30/2019
B
New York 8/30/2019
B
Colorado 4/9/2021
B
North Carolina 8/30/2019
B
Florida 2/3/2022
B
Ohio 3/26/2025
B
Hawaii 3/17/2022
B
Oregon 8/30/2019
B
Idaho 6/30/2022
B
Tennessee 11/8/2021
B
Illinois 2/12/2021
B
Texas 8/30/2019
B
Indiana 3/25/2025
IA
Texas 8/30/2019
B
Kentucky 7/19/2024
B
Washington 8/30/2019
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/12/2008 - 09/27/2019 | LOS GATOS, CA | |
B | 12/12/2008 - 09/27/2019 | LOS GATOS, CA | |
IA | 04/02/2007 - 12/18/2008 | LOS GATOS, CA | |
B | 04/02/2007 - 12/18/2008 | LOS GATOS, CA | |
IA | 07/03/2000 - 04/02/2007 | LOS GATOS, CA | |
B | 06/28/1999 - 04/02/2007 | LOS GATOS, CA |
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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.
IA
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.