Jon G. Symon
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.
Jon Goodall Symon was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1970. Jon had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 22, Series 1, Series 27, Series 24, Series 26, Series 39, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 1994 - August 1, 1995
D.E. FREY & COMPANY, INC.
February 23, 1994 - August 22, 1994
CRISPIN KOEHLER SECURITIES
December 8, 1992 - February 19, 1993
COORDINATED CAPITAL SECURITIES, INC.
March 10, 1992 - August 31, 1992
BROOKSTREET SECURITIES CORPORATION
January 29, 1987 - December 14, 1987
ACUMENT SECURITIES, INC.
April 29, 1986 - January 2, 1987
E. F. HUTTON & COMPANY INC
August 26, 1985 - February 20, 1986
PFG SECURITIES, INC.
February 20, 1985 - August 27, 1985
CETERA ADVISORS LLC
March 4, 1977 - June 11, 1984
SYMON GROUP, LTD.
January 20, 1975 - August 15, 1976
WZW FINANCIAL SERVICES, INC.
August 11, 1971 - February 9, 1975
R. ROWLAND & CO., INCORPORATED
December 1, 1970 - September 2, 1971
G. H. WALKER, LAIRD INCORPORATED
July 22, 1970 - May 14, 1971
RAUSCHER PIERCE SECURITIES CORPORATION
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
Series 1
Date: 7/18/1967
Registered Representative ExaminationF04
Date: 1/19/1977
Financial Principal ExaminationSeries 40
Date: 10/8/1971
Registered Principal ExaminationCurrent Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
