Jason P. Mahon
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.
Jason Paul Mahon was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2001. Jason had worked at 4 firms and has passed the Series 63, Series 65 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
December 11, 2009 - August 1, 2012
KMS FINANCIAL SERVICES, INC.
December 11, 2009 - August 1, 2012
KMS FINANCIAL SERVICES, INC.
September 10, 2004 - December 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2004 - December 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2003 - September 14, 2004
B. RILEY WEALTH MANAGEMENT
November 28, 2001 - September 14, 2004
B. RILEY WEALTH MANAGEMENT
January 24, 2001 - December 3, 2001
J. MICHAEL-PATRICK, L.L.C.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
