Jon P. Windness

BARRINGTON ASSET MANAGEMENT

CHICAGO, IL 60601

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CRD#: 469771

Professional summary

Jon Post Windness is a registered financial advisor currently at BARRINGTON ASSET MANAGEMENT, INC. located in Chicago, Illinois.

Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Jon has worked at 11 firms and has passed the Series 65, Series 63, PC, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Post Windness's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 21, 2003 - Present

BARRINGTON ASSET MANAGEMENT, INC.

Office #1: 161 N. Clark St., Suite 2950, Chicago, IL 60601

RIA

CRD#: 113740

CHICAGO, IL

Past

February 12, 1999 - July 10, 2003

BARRINGTON RESEARCH ASSOCIATES, INC.

CRD#: 13820

CHICAGO, IL

Past

December 1, 1994 - January 13, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 12, 1989 - December 12, 1994

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

March 4, 1988 - October 31, 1989

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

March 9, 1981 - March 8, 1988

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

July 16, 1979 - March 17, 1981

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - July 16, 1979

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

January 2, 1973 - May 5, 1977

SPENCER TRASK & CO. INCORPORATED

CRD#: 782

Past

February 6, 1967 - February 11, 1973

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/21/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/19/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 5/1/1981

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 2/3/1967

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 2/3/1967

Registered Representative Examination

Current Firm

BARRINGTON ASSET MANAGEMENT, INC.

CRD#: 113740 / SEC#: 801-62938

RIA

Registered Investment Advisory firm - (10/22/2012 Terminated)

Georgia

Registered Investment Advisory firm - (3/7/2012 Approved)

Illinois

Registered Investment Advisory firm - (1/24/2012 Approved)

Michigan

Registered Investment Advisory firm - (12/19/2003 Terminated)

Texas

Registered Investment Advisory firm - (12/19/2003 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/31/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

161 North Clark St., Suite 2950, Chicago, IL 60601

Mailing Address

Phone number

(312) 634-6363

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 62,012,187

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.

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Advisor Monitoring

Firm Stability Insights

Jon P. Windness

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Post Windness's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARRINGTON RESEARCH ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

RODMAN & RENSHAW INC.

GRUNTAL & CO., L.L.C.

MOSELEY SECURITIES CORPORATION

LEHMAN BROTHERS INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

SPENCER TRASK & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/1995

Series 63

Date: 9/26/1980

PC

Date: 5/1/1981

Series 000

Date: 2/3/1967

Series 1

Date: 2/3/1967

Current Firm

BARRINGTON ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BARRINGTON ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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