Jon P. Riegle
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.
Jon Philip Riegle was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1980. Jon had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2008 - February 8, 2019
CAPITAL CITY SECURITIES, LLC
March 27, 2003 - September 24, 2008
REGIS SECURITIES CORPORATION
September 11, 2002 - March 27, 2003
CROWN CAPITAL SECURITIES, L.P.
April 12, 2000 - September 11, 2002
ALBANY SECURITIES, LLC.
November 2, 1988 - May 24, 2000
VESTAX SECURITIES CORPORATION
May 29, 1986 - May 18, 1987
VESTAX SECURITIES CORPORATION
January 8, 1986 - November 8, 1988
CARILLON INVESTMENTS, INC.
July 1, 1980 - November 27, 1985
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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
Series 1
Date: 6/20/1980
Registered Representative ExaminationCurrent Firm
CAPITAL CITY SECURITIES, LLC
CRD#: 146001 / SEC#: , 8-67771
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL CITY PARTNERS, INC. | OWNER/MANAGING MEMBER | |
| CRAWFORD, TODD EDWARD | CCO | 1951009 |
| CRAWFORD, TODD EDWARD | PRESIDENT | 1951009 |
| ROLAND, JAMES MERVIN | V. P. COMPLIANCE AND OPERATIONS | 1871181 |
| ROLAND, JAMES MERVIN | OPTIONS PRINCIPAL | 1871181 |
| TOMASELLO, JAC GERARD | MP | 1749835 |
| TOMASELLO, JAC GERARD | GENERAL PRINCIPAL | 1749835 |
| TOMASELLO, JAC GERARD | FIN OP | 1749835 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
