Jon T. Isaacson
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 Tracy Isaacson was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 2001. Jon had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2013 - January 24, 2014
CARDINAL RETIREMENT PLANNING, INC.
December 1, 2011 - April 22, 2013
REGAL INVESTMENT ADVISORS LLC
September 6, 2011 - December 1, 2011
ALPHASTAR CAPITAL MANAGEMENT
June 11, 2010 - June 24, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 20, 2005 - May 28, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
June 10, 2002 - January 19, 2005
AFS BROKERAGE, INC.
October 31, 2001 - June 11, 2002
CONSECO SECURITIES, INC.
Primary Firm SEC Registration
CARDINAL RETIREMENT PLANNING, INC.
CRD#: 166545 / SEC#: 801-132974
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
CARDINAL RETIREMENT PLANNING, INC.
CRD#: 166545 / SEC#: 801-132974
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 231 |
| AUM (Assets Under Management) | $ 111,034,058 |
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.
