Jon Schwingler
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 Schwingler, who also goes by Schwingler Jon, Jon J Schwingler, Jon Joseph Schwingler, Jon Joseph Schwingler, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1994. Jon had worked at 8 firms and has passed the Series 65, 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
May 25, 2017 - December 31, 2017
TLG ADVISORS, INC.
May 24, 2017 - December 31, 2017
THE LEADERS GROUP, INC.
May 21, 2012 - May 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2011 - May 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 2010 - May 19, 2011
NORTHERN TRUST SECURITIES, INC.
August 30, 2004 - August 5, 2008
WELLS FARGO INVESTMENTS, LLC
February 13, 2004 - June 9, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 3, 1999 - January 29, 2004
PARK AVENUE SECURITIES LLC
April 14, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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