Jonathan M. Cromwell
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.
Jonathan Mark Cromwell was a registered financial advisor .
Jonathan is a previously registered financial advisor and started their career in finance in 1994. Jonathan had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2009 - July 28, 2010
VOYA FINANCIAL ADVISORS, INC.
March 10, 2009 - July 28, 2010
VOYA FINANCIAL ADVISORS, INC.
January 30, 2009 - March 23, 2009
CETERA WEALTH SERVICES, LLC
June 15, 2007 - November 14, 2008
CHASE INVESTMENT SERVICES CORP.
May 31, 2007 - November 14, 2008
CHASE INVESTMENT SERVICES CORP.
April 13, 2004 - June 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 6, 2004 - June 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 18, 2002 - July 12, 2002
A. G. EDWARDS & SONS, INC.
April 18, 2002 - July 12, 2002
A. G. EDWARDS & SONS, INC.
September 3, 1999 - December 31, 2001
CHARLES SCHWAB & CO., INC.
July 12, 1999 - August 19, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 22, 1997 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
September 22, 1994 - July 12, 1999
BA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 8
Date: 1/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
