Jesse R. Boles
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.
Jesse Richard Boles, who also goes by Jesse R Boles, Jesse Richard Boles, Jesse Boles, was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 2008. Jesse had worked at 9 firms and has passed the Series 65, Series 66, SIE 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
April 15, 2025 - June 15, 2026
WESTEND ADVISORS, LLC
April 14, 2025 - June 15, 2026
VICTORY CAPITAL SERVICES, INC.
January 15, 2020 - October 3, 2023
EQUITABLE DISTRIBUTORS, LLC
February 12, 2014 - September 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2014 - September 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2012 - December 23, 2013
PNC WEALTH MANAGEMENT LLC
November 1, 2012 - December 23, 2013
PNC WEALTH MANAGEMENT LLC
February 28, 2011 - September 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2011 - September 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2010 - January 24, 2011
ADP BROKER-DEALER, INC.
April 14, 2009 - July 12, 2010
UBS FINANCIAL SERVICES INC.
May 5, 2008 - July 12, 2010
UBS FINANCIAL SERVICES INC.
January 9, 2008 - April 29, 2008
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
WESTEND ADVISORS, LLC
CRD#: 133279 / SEC#: 801-63626
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
WESTEND ADVISORS, LLC
CRD#: 133279 / SEC#: 801-63626
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,149 |
| AUM (Assets Under Management) | $ 1,868,015,699 |
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.
