Jon M. Gross

ORDERLY FINANCE

Walnut Creek, CA 94596

Some features on this profile are disabled

CRD#: 4090118

Professional summary

Jon Michael Gross is a registered financial advisor currently at ORDERLY FINANCE located in Walnut Creek, California.

Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jon has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Michael Gross's 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®

None

Experience

Current

January 7, 2020 - Present

ORDERLY FINANCE

Office #1: 1501 N Broadway #200, Walnut Creek, CA 94596

RIA

CRD#: 306511

Walnut Creek, CA

Past

August 20, 2012 - January 8, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

August 17, 2012 - January 8, 2020

CRD#: 10299

GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/7/2020)

IAR

Texas
(4/20/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/6/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/10/2000

General Securities Representative Examination

Current Firm

ORDERLY FINANCE

ORDERLY FINANCE | ORDERLY FINANCE, LLC

CRD#: 306511 / SEC#: 801-117809

RIA

Registered Investment Advisory firm - (5/11/2020 Terminated)

California

Registered Investment Advisory firm - (5/8/2020 Approved)

Texas

Registered Investment Advisory firm - (3/15/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1501 N Broadway #200, Walnut Creek, CA 94596

Mailing Address

Phone number

(415) 432-9876

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	123
AUM (Assets Under Management)	$ 75,031,993

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.

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jon M. Gross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

GOLDMAN SACHS & CO. LLC

CETERA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2001

SIE

Date: 10/1/2018

Series 31

Date: 11/6/2002

Series 7

Date: 1/10/2000

Current Firm

ORDERLY FINANCE

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ORDERLY FINANCE

TRUST BUT VERIFY

Similar Advisors