JP
James W. Pon
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CRD#: 1159600
JP
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.
James W Pon, who also goes by James Pon, Jim Pon, Jimmy Pon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 3, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Pon | Jim Pon | Jimmy Pon
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 25, 2012 - December 10, 2012
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
BERKELEY, CA
Past
April 25, 2012 - December 10, 2012
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
BERKELEY, CA
Past
September 8, 2010 - April 10, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HERCULES, CA
Past
September 8, 2010 - April 10, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HERCULES, CA
Past
September 23, 2008 - September 22, 2010
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN JOSE, CA
Past
September 10, 2008 - September 22, 2010
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN JOSE, CA
Past
April 27, 2005 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OAKLAND, CA
Past
April 6, 2005 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OAKLAND, CA
Past
April 17, 1999 - February 22, 2001
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
February 2, 1998 - July 6, 1998
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
May 8, 1996 - January 5, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
March 30, 1992 - May 12, 1995
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 20, 1988 - March 20, 1992
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 10, 1987 - October 18, 1988
CITICORP SECURITIES, INC.
BD
CRD#: 7474
Past
August 17, 1983 - July 14, 1986
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131
Mailing Address
10150 Meanley Drive 1st Floor, San Diego, CA, 92131
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
