Jon S. Mastrandrea
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 Scott Mastrandrea, who also goes by Jon Stran, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1983. Jon had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2018 - March 12, 2020
TRIBAL CAPITAL MARKETS, LLC
May 4, 2015 - December 17, 2018
R. SEELAUS & CO., LLC
April 18, 2011 - May 1, 2015
UBS FINANCIAL SERVICES INC.
November 19, 2008 - March 31, 2011
LOOP CAPITAL MARKETS LLC
June 22, 2007 - July 2, 2008
J.P. MORGAN SECURITIES INC.
February 8, 2006 - June 29, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2004 - June 29, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2002 - February 18, 2004
MORGAN STANLEY DW INC.
August 19, 1999 - February 15, 2002
MORGAN STANLEY & CO. LLC
March 14, 1995 - August 13, 1998
CIBC WORLD MARKETS CORP.
June 14, 1994 - February 28, 1995
PERSHING LLC
August 11, 1986 - July 25, 1994
CITIGROUP GLOBAL MARKETS INC.
December 24, 1985 - July 21, 1986
CITICORP FINANCIAL SERVICES,INC.
November 3, 1983 - April 19, 1984
ADVEST, INC.
July 21, 1983 - November 2, 1983
BLINDER, ROBINSON & CO., INC.
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
Current Firm
TRIBAL CAPITAL MARKETS, LLC
CRD#: 38901 / SEC#: , 8-48460
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
