Jon E. Hankins
Professional summary
Jon Edward Hankins was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jon is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Jon had worked at 5 firms, which includes MORGAN STANLEY DW INC., CHARLES SCHWAB & CO. INC., PFIC SECURITIES CORPORATION, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2002 - March 5, 2003
MORGAN STANLEY DW INC.
August 23, 1999 - July 20, 2001
CHARLES SCHWAB & CO., INC.
March 19, 1999 - September 28, 1999
PFIC SECURITIES CORPORATION
July 20, 1998 - February 22, 1999
IDS LIFE INSURANCE COMPANY
July 20, 1998 - February 22, 1999
AMERIPRISE FINANCIAL SERVICES, 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
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
Red Flags
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