JS
Jonathon P. Soucier
WEALTH TEAMS ALLIANCE
Irvine, CA 93618
Some features on this profile are disabled
CRD#: 5645998
JS
Professional summary
Jonathon Paul Soucier, who also goes by Jonathon Soucier, is a registered financial advisor currently at WEALTH TEAMS ALLIANCE located in Irvine, California.
Jonathon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Jonathon has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathon Soucier
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.
1. United AMG
Group Health
Start: 10/14/2015
Address: 18101 Von Karman Ave, 3rd Floor, Irvine, California 92612
5 bus hrs per month
Investment related
2. Outside Fixed Insurance Sales
Start: 10/14/2015
Address: 40 Palatine #106, Irvine CA 92612
5 bus hrs per month
Investment related
3. Trustee for Parent's Irrevocable Trust
I am a co-trustee for my parent's irrevocable trust that holds life insurance and cash.
Start: 10/09/2017
Address: 3763 Hartnel Place, Claremont CA 91711
0 hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Jonathon Paul Soucier'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®
NoneExperience
Current
December 3, 2021 - Present
WEALTH TEAMS ALLIANCE
Office #1: 15520 Rockfield Blvd. Suite G, Irvine, CA 93618RIA
CRD#: 168907
Irvine, CA
Past
November 2, 2015 - June 9, 2020
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEWPORT BEACH, CA
Past
November 2, 2015 - June 9, 2020
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEWPORT BEACH, CA
Past
October 25, 2012 - October 27, 2015
CAPITAL SYNERGY PARTNERS
RIA
CRD#: 148733
IRVINE, CA
Past
October 18, 2012 - October 27, 2015
CAPITAL SYNERGY PARTNERS
BD
CRD#: 148733
IRVINE, CA
Past
July 16, 2012 - February 20, 2014
INNOVATUM CAPITAL PARTNERS, LLC
RIA
CRD#: 154192
COSTA MESA, CA
Past
January 14, 2010 - May 29, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ONTARIO, CA
Past
July 13, 2009 - May 29, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ONTARIO, CA
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".
WT
WEALTH TEAMS ALLIANCE
IA NETWORK | WEALTH TEAMS ALLIANCE INC. | WEALTH TEAMS ALLIANCE | WB CONSULTING, LLC | OAK GROVE, LLC | OAK GROVE, INC. | OAK GROVE | MORGAN ASSET MANAGEMENT
CRD#: 168907 / SEC#: 801-122977
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)California
Registered Investment Advisory firm - (1/21/2023 Terminated)Colorado
Registered Investment Advisory firm - (11/9/2018 Terminated)Florida
Registered Investment Advisory firm - (12/22/2022 Terminated)Kansas
Registered Investment Advisory firm - (12/22/2022 Terminated)Michigan
Registered Investment Advisory firm - (11/16/2018 Terminated)Minnesota
Registered Investment Advisory firm - (3/13/2018 Terminated)Rhode Island
Registered Investment Advisory firm - (11/8/2018 Terminated)Texas
Registered Investment Advisory firm - (12/22/2022 Terminated)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
California(12/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WT
WEALTH TEAMS ALLIANCE
IA NETWORK | WEALTH TEAMS ALLIANCE INC. | WEALTH TEAMS ALLIANCE | WB CONSULTING, LLC | OAK GROVE, LLC | OAK GROVE, INC. | OAK GROVE | MORGAN ASSET MANAGEMENT
CRD#: 168907 / SEC#: 801-122977
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)California
Registered Investment Advisory firm - (1/21/2023 Terminated)Colorado
Registered Investment Advisory firm - (11/9/2018 Terminated)Florida
Registered Investment Advisory firm - (12/22/2022 Terminated)Kansas
Registered Investment Advisory firm - (12/22/2022 Terminated)Michigan
Registered Investment Advisory firm - (11/16/2018 Terminated)Minnesota
Registered Investment Advisory firm - (3/13/2018 Terminated)Rhode Island
Registered Investment Advisory firm - (11/8/2018 Terminated)Texas
Registered Investment Advisory firm - (12/22/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15520 Rockfield Blvd Suite G, Irvine, CA 92618
Mailing Address
Phone number
(877) 282-4768
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 950 |
| AUM (Assets Under Management) | $ 205,554,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
