Jon P. Lindberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jon Peter Lindberg was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1983. Jon had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2009 - December 31, 2019
FIRST ADVISORS CAPITAL, INC.
August 8, 2000 - July 24, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 2, 1989 - August 10, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 4, 1987 - April 27, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
August 22, 1986 - April 27, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 7, 1985 - June 11, 1986
CARDELL & ASSOCIATES, INCORPORATED
September 12, 1983 - December 27, 1984
LEHMAN BROTHERS DISTRIBUTORS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST ADVISORS CAPITAL, INC.
CRD#: 149832 / SEC#: 801-70022
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
