Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jon? Claim Your ProfileJon Neal Wainman is a registered representative with Capital Client Group, Inc. Jon has been in the securities industry since 2005. Jon has a Series 7TO, Series 6, Series 63, and Series 26 license. Jon is currently registered with the state of California. Prior to Jon's current employment, Jon was a registered representative with ING Financial Partners, Inc., ING Financial Advisers, LLC, and Diversified Investors Securities Corp..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Recommending affiliate as investment adviser of sma assets
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
As agreed upon in a manner that covers registrant's costs
1
2
CA
05/29/2012 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
MD
02/14/2012 - 04/25/2012
ING FINANCIAL PARTNERS, INC. (ANNAPOLIS MD)
MD
06/04/2007 - 02/24/2012
ING FINANCIAL ADVISERS, LLC (GREENBELT MD)
MA
03/15/2005 - 05/15/2007
DIVERSIFIED INVESTORS SECURITIES CORP. (NEEDHAM MA)
BC
Issued 11/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2012
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/08/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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