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Ricki Allen Jaye

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Other Names: Rick Allen Jaye, Ricki Allan Jaye
Additional Firm:
Type: SEC and FINRA Registered

Ricki Jaye is a financial professional at First Allied Securities, Inc., a broker-dealer with over 1,150 registered representatives nationwide. Ricki is also registered with First Allied Advisory Services, Inc., a $5B RIA based in Marina, CA. Ricki has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
First Allied Advisory Services 5 years, 2 months Sep 2010 - Present
First Allied Securities 9 years, 5 months Jul 2006 - Present
Db3 Securities 1 year Jul 2005 - Jul 2006
Greenbook Investment Managment 6 years Sep 2004 - Sep 2010
Raj Consultants, Inc. 21 years, 8 months Apr 1994 - Present
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

License Status

1 Regulatory Event

1 Regulatory Event

As of Date
*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

Types of Compensation Arrangements

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