Jacob Carris has been Managing Member, President, and Chief Compliance Officer of Jake Carris Financial Planning since September 2017, is a control person of the firm and directly owns 75% or more of it.
Jake Carris Financial Planning, LLC is an Orlando, FL firm with $110M under management, 115 clients and 1 adviser in one office, as of its July 2026 filing.
Jacob Carris’ longest registration is the current one, 8 years at Jake Carris Financial Planning since 2017. Before joining Jake Carris Financial Planning in 2017, Jacob Carris was registered through Tim Looney Investments, LLC and Schwab Private Client Investment Advisory, Inc.
- – present · 8 yearsOrlando, FL · Adviser representative · Firm CRD 290061
- Tim Looney Investments, LLC– · 4 yearsLake Mary, FL · Adviser representative · Firm CRD 164413
- Schwab Private Client Investment Advisory, Inc.– · 1 yearOrlando, FL · Adviser representative · Firm CRD 159035
- Charles Schwab & Co., Inc.– · 4 yearsOrlando, FL · Adviser representative · Firm CRD 5393
- Morgan Stanley– · under a yearOrlando, FL · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Jacob Carris is registered as an investment adviser representative in 3 states. The first approvals date from November 2017; the most recent is Texas, in January 2018.
- FloridaSince 9 November 2017
- PennsylvaniaSince 2 January 2018
- TexasSince 31 January 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 4 November 2008 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 12 September 2008 |
| Series 31 | Futures Managed Funds Examination | 23 September 2005 |
| Series 66 | Uniform Combined State Law Examination | 16 September 2005 |
| Series 7 | General Securities Representative Examination | 25 August 2005 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Jacob Neal Carris
- CRD
- 5004910
- Firm
- Jake Carris Financial Planning · CRD 290061
- Role
- Managing Member, President, and Chief Compliance Officer
- Office
- 5401 S. KIRKMAN RD, STE. 215, Orlando, FL 32819
- Registration
- Investment adviser registration
- In the industry since
- May 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Jacob Carris work?
Jacob Carris has been Managing Member, President, and Chief Compliance Officer of Jake Carris Financial Planning, LLC since September 2017, and is a control person of the firm.
Is Jacob Carris a financial advisor?
Yes. Jacob Carris has a current investment-adviser registration in Florida, Pennsylvania and Texas, through Jake Carris Financial Planning since November 2017.
How many years of experience does Jacob Carris have?
Jacob Carris has 19 years in the financial industry, since May 2007, across 5 adviser firms.
What exams has Jacob Carris passed?
Jacob Carris has passed 5 licensing exams: the Series 7, Series 66, Series 31, Series 9 and Series 10. The earliest, the Series 7, was passed in August 2005.
Where did Jacob Carris work before Jake Carris Financial Planning?
Before Jake Carris Financial Planning, Jacob Carris was registered through Tim Looney Investments, LLC, April 2013 to October 2017; Schwab Private Client Investment Advisory, Inc., February 2012 to April 2013; Charles Schwab & Co., Inc., October 2007 to March 2012; Morgan Stanley, September 2005 to March 2006.
Where is Jacob Carris based?
Jacob Carris’ registered office is in Orlando, FL.
Is Jacob Carris registered with FINRA?
No. Jacob Carris has no current broker registration.
How can I verify Jacob Carris’ record?
Search CRD 5004910 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jacob Carris’ full registration record.