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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 Advisory Services, Inc., a $5B 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.

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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

No client types listed.

Experience and Employment History

Employer Years Dates
First Allied Advisory Services 3 years, 7 months Sep 2010 - Present
First Allied Securities 7 years, 9 months Jul 2006 - Present
Db3 Securities 1 year Jul 2005 - Jul 2006
Greenbook Investment Management, Inc. 9 years, 3 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. 20 years Apr 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/01/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

1 Regulatory Event

As of Date
08/01/2012
08/07/2012
*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.

Advisor Exams

Exam Series Passed Date
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

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Other: NO ACTIVE CLIENTS