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Carl M. Loncono

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CRD#: 1188742
CL

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.

Carl Michael Loncono, who also goes by Carl Michael Loncono Jr, Carl Michael Loncono Jr., Mike Loncono Jr, was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 2001. Carl had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carl Michael Loncono Jr | Carl Michael Loncono Jr. | Mike Loncono Jr

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.

Blog Corner

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®
None

Experience

Past

April 19, 2013 - July 7, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
MOBILE, AL
Past

March 27, 2013 - July 7, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
MOBILE, AL
Past

April 20, 2012 - April 19, 2013

HUB INTERNATIONAL INVESTMENT SERVICES INC.

RIA
CRD#: 150252
MOBILE, AL
Past

January 30, 2012 - April 19, 2013

HUB INTERNATIONAL INVESTMENT SERVICES INC.

BD
CRD#: 150252
MOBILE, AL
Past

September 24, 2010 - January 13, 2012

FINANCIAL TELESIS INC

RIA
CRD#: 31012
MOBILE, AL
Past

September 24, 2010 - January 13, 2012

FINANCIAL TELESIS INC

BD
CRD#: 31012
MOBILE, AL
Past

January 2, 2009 - September 30, 2010

NRP ADVISORS, INC.

RIA
CRD#: 141430
BRYAN, OH
Past

January 2, 2009 - September 30, 2010

NRP FINANCIAL, INC.

BD
CRD#: 103717
MOBILE, AL
Past

June 22, 2004 - December 31, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
MOBILE, AL
Past

January 2, 2004 - December 31, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
MOBILE, AL
Past

October 31, 2003 - December 31, 2003

FRANK CHAPPELLE & CO., INC.

BD
CRD#: 327
BIRMINGHAM, AL
Past

August 28, 2001 - December 31, 2003

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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
IAR
Series 65
Date: 6/17/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/27/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FT
FINANCIAL TELESIS INC
FINANCIAL TELESIS INC | JHW FINANCIAL SERVICES INC. | FINANCIAL TELESIS, INC. | FINANCIAL TELESIS INC.

CRD#: 31012 / SEC#: 801-63974, 8-45304

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Mailing Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Phone number
(415) 526-2759
Established
California since 11/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/31/2014)

Direct owners and executive officers

NamePositionCRD#
COLLINS, ELIZABETH SARAHPRESIDENT, CFO, FINOP, CCO4714831
WILLIAMS, JAMES HOUSTONPRINCIPAL1482414

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.

Company Information

FINANCIAL TELESIS INC

CRD#: 31012

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