Jon P. Karp
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 Peter Karp was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 2001. Jon had worked at 6 firms and has passed the Series 66 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
February 27, 2009 - March 31, 2015
UHY CAPITAL ADVISORS, LLC
February 17, 2009 - February 2, 2011
SECURITIES SERVICE NETWORK, LLC
June 10, 2004 - February 26, 2009
OSAIC WEALTH, INC.
January 2, 2004 - February 26, 2009
OSAIC WEALTH, INC.
February 10, 2003 - September 16, 2009
LGT FINANCIAL ADVISORS LLC
October 31, 2002 - December 31, 2003
LONDON PACIFIC SECURITIES, INC.
June 14, 2002 - October 31, 2002
NATIONAL PLANNING CORPORATION
September 11, 2001 - October 31, 2002
NATIONAL PLANNING 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
Current Firm
UHY CAPITAL ADVISORS, LLC
CRD#: 116592 / SEC#: 801-62424
Contact information
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.
