Jonathan W. Loc
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 Wah Bo Loc, who also goes by Hue Lac, John Loc, Jonathon Wah Bo Loc, Wah Loc, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2000. Jonathan had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2019 - November 20, 2023
ARCHER INVESTMENT CORPORATION
September 7, 2015 - November 14, 2017
AVANTAX INVESTMENT SERVICES, INC.
August 28, 2015 - November 14, 2017
AVANTAX ADVISORY SERVICES
March 21, 2012 - November 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2012 - November 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2006 - June 9, 2010
OSAIC FS, INC.
May 5, 2005 - June 9, 2010
OSAIC FS, INC.
March 11, 2003 - May 6, 2005
SECURIAN FINANCIAL SERVICES, INC.
February 27, 2002 - May 6, 2005
SECURIAN FINANCIAL SERVICES, INC.
August 22, 2000 - February 6, 2002
TD AMERITRADE, INC.
Primary Firm SEC Registration
ARCHER INVESTMENT CORPORATION
CRD#: 136403 / SEC#: 801-64607
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
ARCHER INVESTMENT CORPORATION
CRD#: 136403 / SEC#: 801-64607
Contact information
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,640 |
| AUM (Assets Under Management) | $ 900,511,000 |
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.
