|Other Names:||Rick Allen Jaye, Ricki Allan Jaye|
Ricki Jaye is a financial professional at First Allied Advisory Services, Inc., a $4B RIA based in Chesterfield, MO. Ricki is also registered with First Allied Securities, Inc., a broker-dealer with over 1,100 registered representatives nationwide. Ricki has held an industry securities registration for 13 years and is subject to SEC and FINRA oversight.
Top AnswersRicki Allen Jaye has not answered any questions on Financial Q&A.
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|First Allied Advisory Services||3 years, 6 months||Sep 2010 - Present|
|First Allied Securities||7 years, 8 months||Jul 2006 - Present|
|Db3 Securities||1 year||Jul 2005 - Jul 2006|
|Greenbook Investment Management, Inc.||9 years, 2 months||Jan 2005 - Present|
|Greenbook Investment Managment||6 years||Sep 2004 - Sep 2010|
|Xelan Financial Planning||1 year, 11 months||Jan 2003 - Dec 2004|
|Raj Consultants, Inc.||19 years, 11 months||Apr 1994 - Present|
No Disclosures Found
1 Regulatory Event
|As of Date||
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
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|Uniform Securities Agent State Law Examination||Series 63||07/14/2006|
|General Securities Representative Examination||Series 7||09/19/2005|
|Uniform Investment Adviser Law Examination||Series 65||01/02/2004|
|Non-Member General Securities Examination||Series 2||09/09/1996|
Types of Compensation Arrangements
- Other: NONE. NO ACTIVE CLIENTS