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JB

Jon E. Budish

Some features on this profile are disabled
CRD#: 1107142
JB

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 Elliott Budish was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1983. Jon had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 29, 2007 - June 3, 2013

JEFFERIES HIGH YIELD TRADING, LLC

BD
CRD#: 47363
SHORT HILLS, NJ
Past

June 4, 2003 - October 28, 2003

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
NEW YORK, NY
Past

June 18, 2001 - November 1, 2004

BONDS DIRECT SECURITIES LLC

BD
CRD#: 112297
NEW YORK, NY
Past

December 22, 1999 - December 28, 2015

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

November 3, 1997 - December 13, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

May 24, 1996 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

May 12, 1994 - May 13, 1996

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

January 18, 1991 - May 23, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 26, 1990 - January 25, 1991

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

October 3, 1983 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

March 22, 1983 - August 15, 1983

ADVEST, INC.

BD
CRD#: 10

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/1995
General Securities Principal Examination

Current Firm

JH
JEFFERIES HIGH YIELD TRADING, LLC
JEFFERIES EMPLOYEES OPPORTUNITY FUND, LLC | JEFFERIES PARTNERS OPPORTUNITY FUND II, LLC | JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363 / SEC#: , 8-51771

BD
Terminated by SEC on 06/01/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/30/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES HIGH YIELD HOLDINGMEMBER
HANDLER, RICHARD BRIANCEO, PRESIDENT AND COO1563245
HARTEVELDT, ROBERT LONDONPRESIDENT1831652
SCORAN, LAURI ACHIEF COMPLIANCE OFFICER2060170
WELCH, ROBERT JOSEPHCHIEF FINANCIAL OFFICER AND SECRETARY2442679

Disclosures

Regulatory Event2

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.

Company Information

JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363

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