Ian O. Jobe
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.
Ian Oliver Jobe was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1991. Ian had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2014 - January 30, 2017
UNION CAPITAL COMPANY
April 6, 2009 - November 5, 2012
UNION CAPITAL COMPANY
October 9, 2007 - November 5, 2012
UNION CAPITAL COMPANY
March 20, 2006 - March 27, 2007
CHASE INVESTMENT SERVICES CORP.
March 20, 2006 - March 27, 2007
CHASE INVESTMENT SERVICES CORP.
August 3, 2005 - February 22, 2006
PFS INVESTMENTS INC.
October 20, 2004 - November 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 22, 2002 - October 20, 2004
QUICK & REILLY, INC.
March 28, 2002 - October 20, 2004
QUICK & REILLY, INC.
April 3, 2000 - March 25, 2002
EDWARD JONES
September 18, 1996 - March 10, 2000
CHASE INVESTMENT SERVICES CORP.
August 1, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
November 16, 1993 - August 1, 1994
IFMG SECURITIES, INC.
September 30, 1993 - November 22, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
October 13, 1992 - October 1, 1993
MARKETING ONE SECURITIES, INC.
May 11, 1992 - October 5, 1992
DIME SECURITIES, INC.
October 2, 1991 - May 20, 1992
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
