Jerry B. Willborn
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.
Jerry Brian Willborn was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1991. Jerry had worked at 7 firms and has passed the Series 66, 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
September 18, 2017 - March 31, 2021
FROST INVESTMENT SERVICES
November 21, 1996 - March 31, 2021
FROST BROKERAGE SERVICES, INC.
January 23, 1996 - December 19, 1996
INVESTMENT PROFESSIONALS, INC.
February 1, 1993 - July 24, 1995
BA INVESTMENT SERVICES, INC.
August 28, 1992 - February 9, 1993
INVEST FINANCIAL CORPORATION
May 15, 1991 - August 24, 1992
IDS LIFE INSURANCE COMPANY
May 15, 1991 - August 24, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
