Jon R. Vaux
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 Robert Vaux was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1991. Jon had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2017 - May 10, 2018
QUESTAR CAPITAL CORPORATION
August 21, 2013 - August 4, 2017
FREEDOM INVESTORS CORP.
October 30, 2012 - August 28, 2013
CETERA WEALTH SERVICES, LLC
January 1, 2007 - December 31, 2010
RIVERSOURCE DISTRIBUTORS, INC.
September 14, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
September 14, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2004 - June 2, 2004
U.S. BANCORP INVESTMENTS, INC.
June 10, 2003 - January 13, 2004
IFMG SECURITIES, INC.
May 2, 2002 - June 2, 2003
SPRINGBOARD SECURITIES, INC.
January 20, 2000 - December 21, 2001
OSAIC FS, INC.
November 6, 1997 - January 29, 1998
FIRST WALL STREET CORP.
August 28, 1995 - December 21, 1995
FIRST WALL STREET CORP.
April 12, 1991 - September 1, 1993
MARKETING ONE SECURITIES, 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
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
