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Detailed Report
Jon M Busse
JON MICHAEL BUSSE, Jon Busse
CRD#: 2417062
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 6060 POPLAR AVE
MEMPHIS, TN 38119
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (1 year)2 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2022 (1 year)2 FIRMS2023 - Present (1 year)BFIRST SECURITY INVESTMENTS, INC. (CRD# 24035)2002 - 2003 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2000 (1 year)IASOUND INCOME STRATEGIES, LLC (CRD# 173272)2022 - 2023 (<1 year)
License(s)

State Registrations

B
Alabama 4/15/2023
B
Missouri 4/15/2023
B
Arizona 3/6/2025
B
Nevada 3/6/2025
B
Arkansas 4/15/2023
B
New Jersey 1/26/2024
B
California 4/15/2023
B
New York 3/25/2024
B
Colorado 4/15/2023
B
North Carolina 4/19/2023
B
Delaware 9/30/2023
B
Ohio 9/28/2023
B
Florida 4/15/2023
B
Oregon 4/21/2023
B
Georgia 4/15/2023
B
Pennsylvania 8/25/2023
B
Idaho 9/30/2023
B
South Carolina 4/19/2023
B
Illinois 1/30/2024
B
South Dakota 4/19/2023
B
Indiana 10/2/2023
B
Tennessee 4/14/2023
B
Iowa 5/8/2024
IA
Tennessee 4/14/2023
B
Kansas 4/24/2023
B
Texas 4/15/2023
B
Louisiana 4/15/2024
IA
Texas 4/15/2023
B
Maryland 9/30/2023
B
Virginia 9/30/2023
B
Michigan 4/24/2023
B
Wisconsin 3/22/2024
B
Minnesota 4/15/2023
B
Wyoming 9/30/2023
B
Mississippi 4/15/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6060 POPLAR AVE, MEMPHIS, TN 38119
Registered with this firm since 4/14/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6060 POPLAR AVE, MEMPHIS, TN 38119
Registered with this firm since 4/14/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/30/2022 - 04/14/2023 SOUND INCOME STRATEGIES, LLC (CRD#:173272) Cordova, TN
IA
 11/20/2020 - 08/31/2022 EDWARD JONES (CRD#:250) Germantown, TN
B
 11/20/2020 - 08/31/2022 EDWARD JONES (CRD#:250) Germantown, TN
IA
 02/12/2019 - 11/10/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MEMPHIS, TN
B
 01/17/2019 - 11/10/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MEMPHIS, TN
B
 01/03/2002 - 04/01/2003 FIRST SECURITY INVESTMENTS, INC. (CRD#:24035) KINGSTON, PA
B
 07/27/2000 - 10/18/2001 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
 07/27/2000 - 10/18/2001 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
B
 10/20/1998 - 07/19/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.