JIMMIE DAVID PITZER is currently employed as a Broker and/or Investment Adviser at THE O.N. EQUITY SALES COMPANY located at 216 N. WACO ST, Q, WICHITA, KS, 67202.
JIMMIE DAVID PITZER has worked at THE O.N. EQUITY SALES COMPANY since December 01, 2015
JIMMIE DAVID PITZER has 2 Disclosure Event(s).
Date: September 17, 2015 Category: Employment Separation After Allegations Firm Name: Edward Jones Termination Type: Discharged Allegations: While on heightened supervision, Mr. Pitzer violated the firm's client privacy and discretionary orders policies Broker Comment: I think the circumstance that brought my supervision to a head was this summer when a an annuity wholesaler with Protective Life was in the office and we were going over some old annuity accounts and some of the paperwork with social security numbers and birthdates on them got mixed up in his paperwork and he left with them. I believe there were 13 clients. When he discovered the papers he immediately notified us by EMail and his company and shredded them. Edward Jones became concerned due to the possibility of identity theft.All of the clients were personally contacted and were offered Equifax protection on theiraccounts for one year and i was put on heightened supervision. There was a claim of discretionary trading on my U5. The only circumstance that I can think of is when my client ______________ brought in a check for his wife _____'s IRA. _________ instructed me on which mutual funds to invest in. There was not a current LOA from his wife _____ in the file; however they were in the office multiple times communicating their choices. These are clients that I have worked with for 15-20 years and have not had any issues.
Date: May 13, 2009 Category: Financial Type: Bankruptcy Disposition: Discharged
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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