Irene T. Surmonins-thompson
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.
Irene Taisa Surmonins-thompson, who also goes by Irene Taisa Surmonins, Irene Taisa Surmoninsthompson, was a registered financial professional .
Irene is a previously registered financial professional and started their career in finance in 1988. Irene had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2019 - December 31, 2019
J. W. COLE ADVISORS, INC.
February 6, 2019 - December 31, 2019
J.W. COLE FINANCIAL, INC.
November 2, 2018 - February 7, 2019
OSAIC WEALTH, INC.
November 2, 2018 - February 7, 2019
OSAIC WEALTH, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
January 24, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 17, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 28, 1995 - December 31, 1996
SUNAMERICA SECURITIES, INC.
June 9, 1994 - February 28, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 1, 1991 - February 9, 1993
IFMG SECURITIES, INC.
March 23, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
November 14, 1988 - February 27, 1989
POWER SECURITIES CORPORATION
July 25, 1988 - November 8, 1988
KOBER FINANCIAL CORP.
March 24, 1988 - July 15, 1988
R.B. MARICH, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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