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Detailed Report
JAMIE DAVID POPE
CRD#: 4172805
IA
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
20022004200620082010201220142016IAWILBANKS SECURITIES ADVISORY (CRD# 118304)2011 - 2013 (2 years)IAALLEGIANT ASSET MANAGEMENT L.L.C. (CRD# 141047)2009 - 2010 (1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2004 - 2006 (1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2004 (1 year)
Disclosure(s)
View By:
4/3/2015
Regulatory
Final
11/10/2014
Regulatory
Final
Previous Registration(s)
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 02/24/2011 - 11/11/2013 WILBANKS SECURITIES ADVISORY (CRD#:118304) ALTAMONTE SPRINGS, FL
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 06/29/2009 - 12/22/2010 ALLEGIANT ASSET MANAGEMENT L.L.C. (CRD#:141047) MIAMI BEACH, FL
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 04/02/2004 - 02/01/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WINTER PARK, FL
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 12/10/2002 - 03/30/2004 MORGAN STANLEY (CRD#:7556) WINTER PARK, FL
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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
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.