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JC

Jon Conner

OAKPOINT SOLUTIONS
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 3253363
JC

Professional summary

Jon Conner, CFA, who also goes by Jon Karl Conner, Jon Conner, Cfa, Caia, is a registered financial professional currently at OAKPOINT SOLUTIONS, LLC located in Tampa, Florida.

Jon is registered as a RR (Registered Representative) and started their career in finance in 1999. Jon has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Karl Conner | Jon Conner, Cfa, Caia

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.
I*481567 For profit or not for profit: Name of outside business organization: City of Orinda Investment related: N Address of business: Orinda, California, 94563 Nature of business: Position, title, association: Other, Start date of relationship: 3/24/2021 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Financial Advisory Committee, The Finance Advisory Committee is an advisory body to the City Council on matters relating to finance including budget process and review, examination of financial reports and related financial matters.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jon Conner's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFA

Chartered Financial Analyst

Experience

Current

May 14, 2025 - Present

OAKPOINT SOLUTIONS, LLC

Office #1: 100 South Ashley Drive Suite 1130, Tampa, FL 33602
BD
CRD#: 171775
Tampa, FL
Past

May 10, 2019 - April 29, 2024

BOFA SECURITIES, INC.

RIA
CRD#: 283942
SAN FRANCISCO, CA
Past

May 10, 2019 - March 17, 2025

BOFA SECURITIES, INC.

BD
CRD#: 283942
SAN FRANCISCO, CA
Past

June 13, 2011 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

June 13, 2011 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

October 21, 2009 - May 27, 2011

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
SAN FRANCISCO, CA
Past

July 1, 2009 - October 12, 2010

SECURITY GLOBAL INVESTORS

RIA
CRD#: 144107
SAN FRANCISCO, CA
Past

July 1, 2009 - May 27, 2011

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
NEW YORK, NY
Past

December 15, 2008 - November 6, 2009

SECURITY DISTRIBUTORS

BD
CRD#: 3336
TOPEKA, KS
Past

November 13, 2006 - August 1, 2007

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
SAN FRANCISCO, CA
Past

January 5, 2004 - January 17, 2007

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
SAN FRANCISCO, CA
Past

June 7, 2001 - January 17, 2007

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
SAN FRANCISCO, CA
Past

October 14, 1999 - March 2, 2001

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/15/2025)
RR
Florida
(5/15/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/11/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/24/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OAKPOINT SOLUTIONS, LLC
OAKPOINT SOLUTIONS, LLC

CRD#: 171775 / SEC#: , 8-69477

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
100 South Ashley Drive Suite 1130, Tampa, FL 33602
Mailing Address
100 South Ashley Drive Suite 1130, Tampa, FL 33602
Phone number
(212) 588-6440
Established
Florida since 01/13/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CKT LLCMANAGING MEMBER
COUGHLIN, GERARD JAMESCEO1792909
DRUTAU, MAYA ARTEMOVNAPRINCIPAL FINANCIAL OFFICER4580500
DRUTAU, MAYA ARTEMOVNAFINOP4580500
MILLER, DANIEL WILLIAMCHIEF COMPLIANCE OFFICER5790837

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.

Company Information

OAKPOINT SOLUTIONS, LLC

CRD#: 171775Tampa, FL 33602

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