Individual Firm
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Jay Liban
JAY M LIBAN, JAY MARSHALL LIBAN, JAY LIBAN
CRD#: 5795167
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 11175 CICERO DR
STE 450
ALPHARETTA, GA 30022-1166
STE 450
ALPHARETTA, GA 30022-1166
View By:
2/6/2017
Customer Dispute
Denied
State Registrations
B
California 2/3/2023
B
North Carolina 2/3/2023
B
District of Columbia 5/29/2024
B
South Carolina 2/3/2023
B
Florida 2/3/2023
B
Texas 4/10/2024
B
Georgia 2/3/2023
IA
Texas 4/10/2024
IA
Georgia 2/8/2023
B
Virginia 2/3/2023
B
New Jersey 2/3/2023
B
Wisconsin 2/20/2025
B
New York 2/3/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/3/2023
B
Registered with this firm since 2/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/16/2013 - 02/04/2023 | ALPHARETTA, GA | |
B | 09/12/2013 - 02/04/2023 | ALPHARETTA, GA | |
IA | 12/13/2010 - 09/05/2013 | ATLANTA, GA | |
B | 12/07/2010 - 09/05/2013 | ATLANTA, GA | |
B | 07/19/2010 - 10/07/2010 | ATLANTA, GA |
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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.