Jon T. Brainard
Professional summary
Jon Thomas Brainard 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 professional and started their career in finance in 1989. Prior to being barred, Jon had worked at 5 firms, which includes WESTMINSTER SECURITIES CORPORATION, THE HIGHLAND CAPITAL GROUP INC., STUART COLEMAN & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 1997 - June 13, 1997
WESTMINSTER SECURITIES CORPORATION
March 22, 1996 - March 18, 1997
THE HIGHLAND CAPITAL GROUP, INC.
March 6, 1995 - April 25, 1995
STUART, COLEMAN & CO., INC.
April 26, 1991 - January 13, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 1989 - March 8, 1991
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
WESTMINSTER SECURITIES CORPORATION
CRD#: 6105 / SEC#: , 8-16881
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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