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Ricki Allen Jaye

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Information

Other Names: Rick Allen Jaye, Ricki Allan Jaye
Firm:
Additional Firm:
Type: Dual Registration
Description

Ricki Jaye is a financial professional at First Allied Securities, Inc., a broker-dealer with over 1,100 registered representatives nationwide. Ricki is also registered with First Allied Advisory Services, Inc., a $5B RIA based in Chesterfield, MO. Ricki has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
First Allied Advisory Services 4 years Sep 2010 - Present
First Allied Securities 8 years, 2 months Jul 2006 - Present
Db3 Securities 1 year Jul 2005 - Jul 2006
Greenbook Investment Managment 6 years Sep 2004 - Sep 2010
Xelan Financial Planning 1 year, 11 months Jan 2003 - Dec 2004
Raj Consultants, Inc. 20 years, 5 months Apr 1994 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 07/14/2006
General Securities Representative ExaminationSeries 7 09/19/2005
Uniform Investment Adviser Law ExaminationSeries 65 01/02/2004
Non-Member General Securities ExaminationSeries 2 09/09/1996

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Ricki Allen Jaye has not answered any questions on Financial Q&A.

Top Guides

Ricki Allen Jaye has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

1 Regulatory Event

As of Date
08/01/2012
12/12/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*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.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions