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Jesse L Stubbs

Barclays Capital Inc.

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About Jesse L Stubbs

Jesse L. Stubbs is a financial professional with over 15 years of experience in the industry. Jesse currently holds a Series 66 and Series 63 license and is registered in New York. Jesse has previously been associated with MID-MARKET SECURITIES, LLC, AXA ADVISORS, LLC, HSBC SECURITIES (USA) INC. and J.P. MORGAN SECURITIES INC. Jesse specializes in investment banking and has been with Barclays Capital Inc. since August 2023.

Firm Information

Jesse Stubbs is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Jesse Stubbs’s Registration & Firm History

NY

08/16/2023 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

02/07/2011 - 07/24/2023

MID-MARKET SECURITIES, LLC (MOUNT KISCO NY)

NJ

07/24/2008 - 02/13/2009

AXA ADVISORS, LLC (WOODBRIDGE NJ)

NY

05/23/2006 - 01/04/2008

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

11/29/2004 - 02/01/2006

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 11/18/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/13/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/27/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Jesse L Stubbs.
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