Jeffry O. Jon
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.
Jeffry Oscar Jon was a registered financial advisor .
Jeffry is a previously registered financial advisor and started their career in finance in 1970. Jeffry had worked at 10 firms and has passed the Series 63, PC, Series 1, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2007 - November 30, 2009
SECURITIES AMERICA, INC.
July 1, 2003 - March 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 28, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 28, 1994 - September 19, 2000
MORGAN STANLEY DW INC.
November 23, 1988 - March 9, 1994
UBS FINANCIAL SERVICES INC.
October 11, 1984 - December 3, 1988
PRUDENTIAL EQUITY GROUP, LLC
December 2, 1976 - October 29, 1984
E. F. HUTTON & COMPANY INC
August 27, 1976 - January 16, 1977
BACHE HALSEY STUART INC.
April 10, 1975 - August 27, 1976
BACHE & CO INCORPORATED
July 2, 1971 - April 10, 1975
JANNEY MONTGOMERY SCOTT LLC
July 8, 1970 - May 14, 1971
E. W. SMITH CO.
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 6/21/1971
Registered Representative ExaminationSeries 12
Date: 10/22/1979
NYSE Branch Manager ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
