Jon K. Sampson
Professional summary
Jon Kenneth Sampson is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Ann Arbor, Michigan.
Jon is registered as a RR (Registered Representative) and started their career in finance in 1988. Jon has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jon Kenneth Sampson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2010 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
April 7, 2008 - February 2, 2010
JOHN HANCOCK DISTRIBUTORS LLC
February 23, 2005 - March 7, 2008
EQUITABLE DISTRIBUTORS, LLC
July 25, 1996 - March 2, 2005
DWS DISTRIBUTORS, INC.
February 17, 1993 - February 23, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 17, 1993 - February 23, 1996
OSAIC FA, INC.
May 7, 1991 - January 10, 1992
KEYPORT FINANCIAL SERVICES CORP.
January 1, 1988 - May 9, 1989
MFS FINANCIAL SERVICES, 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
(4/6/2023)
(4/18/2024)
(2/1/2010)
(10/3/2022)
(2/1/2010)
(4/18/2024)
(2/1/2010)
(2/1/2010)
(2/1/2010)
(2/1/2010)
Exams
FINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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