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JJ

James W. Jonen

Some features on this profile are disabled
CRD#: 704727
JJ

Professional summary

James William Jonen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, James had worked at 11 firms, which includes CONSECO SECURITIES INC., RELIANCE CAPITAL INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., ALLIED INVESTMENT SERVICES INC., WALL STREET FINANCIAL INC., PIM FINANCIAL SERVICES INC., FINANCIAL PLANNERS EQUITY CORPORATION, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., LOCUST STREET SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

September 10, 1999 - March 14, 2002

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

May 13, 1999 - August 19, 1999

RELIANCE CAPITAL, INC.

BD
CRD#: 36594
OAK BROOK, IL
Past

October 22, 1991 - January 18, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

October 22, 1991 - January 18, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

January 18, 1990 - September 25, 1991

ALLIED INVESTMENT SERVICES, INC.

BD
CRD#: 25310
OAK BROOK, IL
Past

July 10, 1985 - December 19, 1989

WALL STREET FINANCIAL INC.

BD
CRD#: 13124
OAK BROOK, IL
Past

June 18, 1984 - April 8, 1985

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
Past

December 21, 1982 - April 9, 1984

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420
Past

October 29, 1980 - November 19, 1984

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
Past

October 29, 1980 - November 19, 1984

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

February 21, 1980 - October 23, 1980

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703

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
RR
Series 63
Date: 5/9/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/7/1980
Registered Representative Examination

Current Firm

CS
CONSECO SECURITIES, INC.
CONSECO FINANCIAL SERVICES, INC. | MDS SECURITIES, A DIVISION OF CONSECO SECURITIES, INC. | MDS SECURITIES INCORPORATED | CONSECO SECURITIES, INC.

CRD#: 29367 / SEC#: , 8-44287

BD
Terminated by SEC on 09/29/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/21/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONSECO INTERIM HOLDINGS CORPORATION (CIHC)SHAREHOLDER
BARRA, DAVID JOSEPHSENIOR VICE PRESIDENT/FINANCIAL & OPERATIONS PRINCIPAL4399587
CULLEMFIORE, MARGARET ANNVICE PRESIDENT, ASSOCIATE GENERAL COUNSEL & ASSISTANT SECRETARY/CHIEF COMPLIANCE OFFICER703791

Disclosures

Regulatory Event1

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.

Company Information

CONSECO SECURITIES, INC.

CRD#: 29367

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