Jonathan D. York
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 Dennis York was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1997. Jonathan had worked at 4 firms and has passed the Series 65, Series 63, 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
March 11, 2010 - January 2, 2020
STERLING ADVISORS LLC
November 22, 2006 - November 19, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 12, 2002 - November 19, 2009
WORLD GROUP SECURITIES, INC.
September 29, 1997 - April 12, 2002
WMA SECURITIES, INC.
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
STERLING ADVISORS LLC
CRD#: 153221 / SEC#:
Contact information
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.
