Jay Kevin Falini

Employer firm

Zacks Investment Management, Inc. CRD 110897

$14.6B regulatory AUM 25 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• CREATES AND MANAGES QUANTITATIVE INVESTMENT MODELS THAT ARE LICENSED TO SPONSORS OF UITS AND ETFS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2008 → Present
  Zacks Investment Management
  Chicago, IL
• 10/2008 → Present
  Lbmz Securities, Inc.
  Chicago, IL

Previous Registrations

• 2007-01-19 → 2007-08-23
  Investacorp Advisory Services Inc
  Haddon Heights, NJ

Other Businesses

Falini Associates, LTD. Not investment related. 363 Tavistock, Haddonfield, New Jersey 08033, Contractor, President, Start date April 22, 2026, I am serving as the President of Falini Associates, LTD for the sole reason that the business needs to be liquidated due to my brother's death. 0 Hours/month, 0 Hours/during business day.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-01-27
• S63 Uniform Securities Agent State Law Examination
  1994-08-09