Jon J. Rees
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 Jeffrey Rees, who also goes by Jeff Rees, Jon Jeffrey Rees Mr, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1998. Jon had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2009 - May 5, 2010
SECURITIES AMERICA, INC.
April 24, 2009 - June 9, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 2009 - January 8, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 2005 - April 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 26, 2005 - April 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 19, 2005 - July 25, 2005
WELLS FARGO CLEARING SERVICES, LLC
January 12, 2005 - July 25, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 3, 1999 - January 14, 2005
UBS FINANCIAL SERVICES INC.
February 25, 1999 - January 14, 2005
UBS FINANCIAL SERVICES INC.
February 4, 1998 - February 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
