Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Vernon D Isaacs III
DOUG ISAACS, V. DOUGLAS ISAACS, VERNON DOUGLAS ISAACS III, Vernon Douglas Isaacs
CRD#: 5031543
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 350 E MAIN STREET
WESTFIELD, IN 46074
Registration History
200620082010201220142016201820202022202420262 FIRMS2008 - 2010 (1 year)2 FIRMS2010 - 2014 (4 years)2 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - Present (5 years)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2007 - 2008 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2007 (1 year)
License(s)

State Registrations

B
Alabama 4/26/2022
B
Missouri 9/6/2019
B
California 9/6/2019
B
New York 8/24/2020
B
Colorado 7/25/2023
B
North Carolina 9/6/2019
B
Florida 9/6/2019
B
Ohio 9/6/2019
B
Georgia 9/6/2019
B
Pennsylvania 9/6/2019
B
Illinois 9/6/2019
B
Rhode Island 8/29/2022
B
Indiana 9/6/2019
B
South Carolina 1/9/2020
IA
Indiana 9/6/2019
B
Tennessee 9/6/2019
B
Kansas 9/6/2019
B
Texas 11/28/2023
B
Kentucky 9/6/2019
IA
Texas 12/5/2023
B
Louisiana 11/6/2019
B
Virginia 9/6/2019
B
Michigan 9/6/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
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
EDWARD JONES (CRD#:250)
350 E MAIN STREET, WESTFIELD, IN 46074
Registered with this firm since 9/6/2019
B
EDWARD JONES (CRD#:250)
350 E MAIN STREET, WESTFIELD, IN 46074
Registered with this firm since 9/6/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/27/2015 - 09/05/2019 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) GREENFIELD, IN
B
 11/27/2015 - 09/05/2019 CETERA INVESTMENT SERVICES LLC (CRD#:15340) NEW CASTLE, IN
IA
 08/04/2014 - 11/16/2015 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) NOBLESVILLE, IN
B
 08/04/2014 - 11/16/2015 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) NOBLESVILLE, IN
IA
 06/17/2010 - 07/28/2014 FIFTH THIRD SECURITIES, INC. (CRD#:628) CARMEL, IN
B
 06/17/2010 - 07/28/2014 FIFTH THIRD SECURITIES, INC. (CRD#:628) CARMEL, IN
IA
 08/25/2008 - 05/18/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) INDIANAPOLIS, IN
B
 08/01/2008 - 05/18/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) INDIANAPOLIS, IN
B
 08/24/2007 - 08/01/2008 FIFTH THIRD SECURITIES, INC. (CRD#:628) INDIANAPOLIS, IN
B
 09/28/2005 - 08/01/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) INDIANAPOLIS, IN
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.