AY
Andrew R. Yon
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CRD#: 4588279
AY
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.
Andrew Ray Yon, who also goes by Ray Yon, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ray Yon
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 19, 2015 - March 23, 2016
OSAIC FS, INC.
BD
CRD#: 3870
CLARKSVILLE, TN
Past
November 18, 2015 - March 23, 2016
OSAIC FS, INC.
RIA
CRD#: 3870
CLARKSVILLE, TN
Past
May 17, 2013 - April 14, 2014
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
RICHMOND, VA
Past
May 17, 2013 - April 14, 2014
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
RICHMOND, VA
Past
September 13, 2011 - May 8, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RICHMOND, VA
Past
September 13, 2011 - May 8, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RICHMOND, VA
Past
September 17, 2010 - August 16, 2011
GWN SECURITIES INC.
BD
CRD#: 128929
ASHLAND, VA
Past
August 23, 2010 - September 15, 2011
INTERACTIVE FINANCIAL ADVISORS
RIA
CRD#: 125117
ASHLAND, VA
Past
July 23, 2010 - August 23, 2010
HBW SECURITIES LLC
BD
CRD#: 136959
ASHLAND, VA
Past
July 22, 2010 - August 19, 2010
HBW ADVISORY SERVICES LLC
RIA
CRD#: 143665
SIMI VALLEY, CA
Past
May 5, 2008 - October 13, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
RICHMOND, VA
Past
February 5, 2008 - October 13, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
RICHMOND, VA
Past
October 25, 2002 - April 15, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OSAIC FS, INC.
ACORN TAX AND WEALTH ADVISORS | ZIRCON FINANCIAL SERVICES | XEO WEALTH PLANNING | WINDWARD FINANCIAL STRATEGIES | WEALTH ADVISORS OF RALEIGH, INC | WASATCH CAPITAL RESOURCES | THOROUGHBRED FINANCIAL AGENCY | THOMAS MOORE FINANCIAL SERVICES | THOMAS DONAHUE & ASSOCIATES DBA DONAHUE FINANCIAL MANAGEMENT GROUP | THE CAPITAL PLANNING GROUP | TEWES WEALTH MANAGEMENT | TEIXEIRA FINANCIAL GROUP | TCFN (THE CAROLINAS FINANCIAL NETWORK) | TAX & FINANCIAL PARTNERS INC | TAUZIN FINANCIAL GROUP | TARA FINANCIAL GROUP | SUMMIT PLANNING GROUP | SUCCESSFUL FINANCIAL MANAGEMENT | STRATEGIC WEALTH PLANNERS, LLC | STEPHEN B. EBBECKE & ASSOCIATES | SIGNATURE FINANCIAL SERVICES GROUP, LLC | SHORELINE WEALTH MANAGEMENT | SAGE WEALTH PARTNERS | SAGE FINANCIAL INNOVATIONS | SAGE FINANCIAL | S.A.MAPES WEALTH MANAGEMENT GROUP LLC | RUBY FINANCIAL PLANNING | RONALD KYZAR FINANCIAL SERVICES | RISE UP FINANCIAL | REYNOLDS FINANCIAL ADVISORS | QUINONES FINANCIAL GROUP LLC | QUANTUM WEALTH ADVISORS, LLC | PROVIDENCE PARTNERS | PRINCIPLES OF FINANCIAL PLANNING | PREMIER ADVISOR GROUP LLC | PILOT FINANCIAL | PHOENIX WEALTH PARTNERS LLC | PERRY PLANNING GROUP | PASSMORE PLANNING PROFESSIONALS | PARTNERS FINANCIAL SERVICES | PARABLE WEALTH MANAGEMENT | OSAIC FS, INC. | ONLY FINANCE LLC | OAKHOUSE ADVISORS | NUTMEG ADVISORY GROUP | NEW BEGINNINGS WEALTH ADVISORS | NATHAN LEE WEALTH MANAGEMENT LLC | MOULTON FINANCIAL GROUP | MONEY MATTERS OF AMERICA, INC | MMC BENEFITS LLC | MCWILLIAMS FINANCIAL GROUP | MAJEWSKI WEALTH MANAGEMENT | MAINSTAY FINANCIAL LLC | M.A.T. FINANCIAL SERVICES | LOWERY FINANCIAL | LOURDES CORUJO FINANCIAL SERVICES | LINDLOFF WEALTH ADVISORS | LINDA CORUJO RETIREMENT CENTER | LINCOLN FINANCIAL SECURITIES CORPORATION | LENNOX INSURANCE AND FINANCIAL LLC | LEGACY PLANNING SOLUTIONS | LAURA TETER | LANDMARK INSURANCE & FINANCIAL GROUP, INC. | KOLIBRI FINANCIAL GROUP | KMK FINANCIAL GROUP | KENSINGTON FINANCIAL SERVICES, INC. | KEM WEALTH MANAGEMENT | KEENA WEALTH, INC. | JOHN AZZARA ASSOCIATES | JMG WEALTH MANAGEMENT | JESSICA C LAMB, FINANCIAL ADVISOR | JEFFERSON PILOT SECURITIES CORPORATION | JEFFERSON PILOT SECURITIES CORP | JEFFERSON FINANCIAL GROUP | HYNES BENEFITS FINANCIAL SERVICES | HORIZON FINANCIAL ADVISORS | HERITAGE ADVISORY GROUP | HEALTH & WEALTH PARTNERS LLC | HATTERAS WEALTH MANAGEMENT | HARRIS WEALTH MANAGEMENT | HARRIS & COMPANY WEALTH MANAGEMENT | HAIRSTON, JOHNSON & ASSOCIATES | GV. FINANCIAL | GROTHAUS FINANCIAL GROUP | GREENE & ASSOCIATES INTEGRATED RETIREMENT STRATEGIES | GOING FINANCIAL | GERMANO FINANCIAL | GALLAGHER - HEFFERON ADVISORS | FORWARD FINANCIAL LLC | FORT BEND FINANCIAL | FISCALLY FIT WEALTH STRATEGIES | FIRST HEARTLAND FINANCIAL GROUP | FINANCIAL CONCEPTS INSURANCE & FINANCIAL SERVICES | FARM FINANCIAL STRATEGIES, INC. | FAITH FINANCIAL | EUGENE W. HARRIS & CO. | ENGLER FINANCIAL | DIFEDERICO FINANCIAL | DEBRA L IANUCCI INSURANCE AGENCY, INC DBA DISTINCTIVE FINANCIAL | DAWN GORDON FINANCIAL ADVISORS | DALA FINANCIAL SERVICES, LLC | CREATIVE FINANCIAL STRATEGIES | CORUJO ADVISORY GROUP, LLC | COMPSTON WEALTH MANAGEMENT | COMPREHENSIVE FINANCIAL ADVISORS, LLC | CHUBB SECURITIES CORPORATION | CHISHOLM TRAIL FINANCIAL GROUP | CHARTERED FINANCIAL PLANNING ASSOCIATES LTD | CFS OF PUERTO RICO | CATALDO FINANCIAL GROUP | CAPUTO FINANCIAL GROUP, LLC | C. BEACH BROWN | BCR FINANCIAL SERVICES | BAUMANN FINANCIAL | BAREFOOT FINANCIAL PLANNING | BALDWIN & CLARK ADVISOR SERVICES | APPALACHIAN WEALTH MANAGEMENT | AMERICAN WEALTH MANAGEMENT | ALPHA OMEGA WEALTH PARTNERS | ALL AMERICAN WEALTH | ADVISORS FINANCIAL GROUP
CRD#: 3870 / SEC#: 801-23151, 8-14609
BD
Terminated by SEC on 03/30/2025
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Contact information
Main Address
1301 South Harrison Street, Fort Wayne, IN 46802
Mailing Address
Po Box 2239, Fort Wayne, IN 46801-2239
Phone number
(800) 237-3813
Established
New Hampshire since 01/21/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
655
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | SHAREHOLDER | |
| BONISTEEL, TIMOTHY DAVID | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4943070 |
| CAMPBELL, CLAUDE A. | ASSISTANT VICE PRESIDENT AND AML OFFICER | 5342571 |
| CORNICK, GREGORY ALLEN | CHAIRMAN AND DIRECTOR | 3132991 |
| DIMONDA, JOHN ROBERT | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1805436 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINOP AND TREASURER | 5675524 |
| SHEFTIC, JEFFREY JUDE | VICE PRESIDENT, CHIEF OPERATIONS OFFICER | 1881657 |
| WALTERS, EDWARD NIGEL | SENIOR VICE PRESIDENT | 2391434 |
Regulatory assets under management
| Total Number of Accounts | 21,454 |
| AUM (Assets Under Management) | $ 4,483,164,358 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2023 | ||
| 11/21/2022 |
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.
