Jon D. Kurzmann
Professional summary
Jon David Kurzmann was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jon is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Jon had worked at 9 firms, which includes STONEX SECURITIES INC., SAFE HARBOR RETIREMENT PLANNERS, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, FIRST UNION CAPITAL MARKETS CORP., DB ALEX. BROWN LLC, ALEX. BROWN & SONS INCORPORATED, LEGG MASON WOOD WALKER INCORPORATED, LEGG MASON MASTEN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2009 - August 20, 2009
STONEX SECURITIES INC.
July 1, 2009 - July 7, 2011
SAFE HARBOR RETIREMENT PLANNERS
August 20, 2003 - July 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2003 - July 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1999 - September 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 22, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 1, 1997 - February 3, 1999
DB ALEX. BROWN LLC
December 12, 1990 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
November 3, 1987 - December 7, 1990
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
October 22, 1986 - December 7, 1990
LEGG MASON WOOD WALKER, INCORPORATED
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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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