Jonathan A. Zimmerman

Some features on this profile are disabled

CRD#: 5569863

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.

Jonathan Arvay Zimmerman was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2017. Jonathan had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

None

Experience

Past

October 12, 2017 - September 20, 2018

LAUER WEALTH MANAGEMENT

RIA

CRD#: 289763

Chesterton, IN

Past

March 15, 2017 - August 23, 2017

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Valparaiso, IN

Past

January 30, 2017 - August 23, 2017

HIGHTOWER SECURITIES, LLC

CRD#: 116681

VALPARAISO, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LAUER WEALTH MANAGEMENT

LAUER WEALTH LLC | LAUER WEALTH, LLC | LAUER WEALTH MANAGEMENT

CRD#: 289763 / SEC#: 801-121657

RIA

Registered Investment Advisory firm - (6/30/2021 Approved)

Indiana

Registered Investment Advisory firm - (7/21/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (7/20/2021 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).

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.

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 66

Date: 3/13/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/23/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2017

General Securities Representative Examination

Current Firm

LAUER WEALTH MANAGEMENT

LAUER WEALTH LLC | LAUER WEALTH, LLC | LAUER WEALTH MANAGEMENT

CRD#: 289763 / SEC#: 801-121657

RIA

Registered Investment Advisory firm - (6/30/2021 Approved)

Indiana

Registered Investment Advisory firm - (7/21/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (7/20/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

196 E 112 S, Valparaiso, IN 46383

Mailing Address

Phone number

(219) 243-8129

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A +2B LAUER WEALTH MANAGEMENT DISCLOSURE BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	930
AUM (Assets Under Management)	$ 178,152,331

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan A. Zimmerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LAUER WEALTH MANAGEMENT

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

Primary Firm SEC Registration

LAUER WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/13/2017

SIE

Date: 8/23/2017

Series 7

Date: 1/30/2017

Current Firm

LAUER WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAUER WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors