Jon E. Lemole
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 Evan Lemole was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1994. Jon had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2017 - March 13, 2018
AVANTAX ADVISORY SERVICES
August 29, 2017 - March 13, 2018
AVANTAX INVESTMENT SERVICES, INC.
March 11, 2016 - August 31, 2017
SECURIAN FINANCIAL SERVICES, INC.
March 10, 2016 - August 31, 2017
SECURIAN FINANCIAL SERVICES, INC.
February 5, 2008 - March 1, 2016
MSI FINANCIAL SERVICES, INC.
November 17, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 17, 2006 - March 1, 2016
MSI FINANCIAL SERVICES, INC.
June 20, 1994 - November 4, 1994
DEUTSCHE IXE, LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
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.
