JT
Jon D. Tanner
WILLIAM JOSEPH CAPITAL MANAGEMENT
Highland, NY
Some features on this profile are disabled
CRD#: 1895039
JT
Professional summary
Jon D. Tanner, who also goes by Jon David Tanner, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Highland, New York.
Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Jon has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 62, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon David Tanner
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.
1) McDonald & McDonald, Inc.. Not investment-related. 240 Lake Street, Newburgh, NY. Provides bookkeeping services. Started June 1, 1995. 7 hours per month, during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jon D. Tanner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 1, 2024 - Present
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
RIA
CRD#: 226535
Highland, NY
Past
November 18, 2021 - July 2, 2024
SUMMIT ADVISORY SOLUTIONS, LTD.
RIA
CRD#: 115374
HIGHLAND, NY
Past
April 3, 2002 - March 27, 2009
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
POUGHKEEPSIE, NY
Past
May 24, 1995 - March 27, 2002
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
August 18, 1992 - June 23, 1995
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
October 9, 1990 - January 24, 1992
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
November 4, 1988 - November 24, 1989
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 4, 1988 - November 24, 1989
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(7/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/13/1992
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
210 Red Stone Hill Road Suite 5, Bristol, CT 06010
Mailing Address
200 West Hartford Street #u, Milford, PA 18337
Phone number
(860) 973-3214
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 465,072,406 |
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.
