Jon K. Folan
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 Kevin Folan was a registered financial advisor .
Jon is a previously registered financial advisor and started their career in finance in 1970. Jon had worked at 10 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2007 - May 31, 2013
WHITEHALL-PARKER SECURITIES, INC.
June 25, 2001 - October 18, 2005
J.P. MORGAN SECURITIES LLC
May 24, 2001 - October 18, 2005
J.P. MORGAN SECURITIES LLC
June 14, 1995 - July 27, 2001
PRUDENTIAL EQUITY GROUP, LLC
April 7, 1993 - May 30, 1995
COWEN PRIME SERVICES TRADING LLC
October 19, 1984 - March 17, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 1980 - September 28, 1984
BECKER PARIBAS INCORPORATED
January 6, 1977 - November 24, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
June 16, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
September 22, 1971 - July 10, 1976
EDELSTEIN CAMPBELL & CO., INC.
May 7, 1970 - October 20, 1971
WALDRON & CO., 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
Exams
PC
Date: 5/2/1994
AMEX Put and Call ExamSeries 1
Date: 4/27/1970
Registered Representative ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
