Jon K. Bloom
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 K Bloom, who also goes by Jon Bloom, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1981. Jon had worked at 4 firms and has passed the Series 63, Series 56, Series 7, Series 15, Series 5, Series 12, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2012 - June 28, 2012
KOYOTE TRADING LLC
September 29, 1993 - March 18, 1999
DB ALEX. BROWN LLC
April 27, 1992 - August 31, 1993
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
February 25, 1991 - January 14, 1992
GOLDMAN SACHS & CO. LLC
October 23, 1981 - June 27, 1987
GOLDMAN SACHS & CO. LLC
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 56
Date: 3/17/2012
Proprietary Trader Qualification ExaminationSeries 15
Date: 11/8/1984
Foreign Currency Options ExaminationSeries 5
Date: 4/20/1982
Interest Rate Options ExaminationSeries 12
Date: 5/18/1998
NYSE Branch Manager ExaminationCurrent Firm
KOYOTE TRADING LLC
CRD#: 149672 / SEC#: , 8-68182
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOYOTE CAPITAL GROUP LLC | OWNER | |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| RISI, SALVATORE ANTHONY | CFO/FINOP | 1072513 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER | 1280443 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
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.
