JF
Jonathan D. Freeze
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CRD#: 2642023
JF
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 Douglas Freeze, who also goes by Jon Freeze, Jonathan D Freeze, was a registered financial advisor .
Jonathan is a previously registered financial advisor and started their career in finance in 1995. Jonathan had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jon Freeze | Jonathan D Freeze
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 28, 2015 - August 4, 2015
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
SAN RAMON, CA
Past
July 2, 2015 - April 17, 2017
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
Canonsburg, PA
Past
July 22, 2013 - July 14, 2015
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
FREDERICKSBURG, VA
Past
July 22, 2013 - July 14, 2015
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
FREDERICKSBURG, VA
Past
August 31, 2010 - August 1, 2013
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
FREDERICKSBURG, VA
Past
March 31, 2009 - August 31, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
FREDERICKSBURG, VA
Past
March 31, 2009 - July 31, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
FREDERICKSBURG, VA
Past
April 13, 2007 - April 6, 2009
OSAIC FA, INC.
RIA
CRD#: 3978
CANONSBURG, PA
Past
October 9, 1995 - March 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
GLASTONBURY, CT
Past
October 9, 1995 - April 6, 2009
OSAIC FA, INC.
BD
CRD#: 3978
CANONSBURG, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 791-4444
Established
Firm type
Fiscal year end
# of Employees
51
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,832 |
| AUM (Assets Under Management) | $ 442,192,443 |
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.
