Jon M. Thomas
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 M Thomas, who also goes by Jon Michael Thomas, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 2002. Jon had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2022 - January 22, 2024
STOUT CAPITAL, LLC
October 23, 2019 - March 1, 2022
IOI CAPITAL AND MARKETS, LLC
June 17, 2013 - February 18, 2022
WOODSIDE CAPITAL SECURITIES LLC
October 22, 2012 - May 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2012 - May 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2010 - May 26, 2011
JORDAN, KNAUFF & COMPANY
July 31, 2007 - August 11, 2008
ASPECT SECURITIES, LLC
April 8, 2004 - August 24, 2005
ADVEST, INC.
August 1, 2003 - April 5, 2004
R.W.PRESSPRICH & CO.
May 20, 2002 - July 10, 2003
XSG CORPORATE FINANCE, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STOUT CAPITAL, LLC
CRD#: 127302 / SEC#: , 8-65979
Contact information
FINRA licenses (38 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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