Jeffrey A. Sonshine
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.
Jeffrey A Sonshine, CFP®, who also goes by Jeffrey Allen Sonshine, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2010 - April 9, 2015
TD AMERITRADE, INC.
September 14, 2010 - April 9, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 14, 2010 - April 9, 2015
TD AMERITRADE, INC.
June 3, 2010 - August 17, 2010
CHARLES SCHWAB & CO., INC.
March 29, 2010 - April 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2007 - July 9, 2009
CHARLES SCHWAB & CO., INC.
September 12, 2007 - July 9, 2009
CHARLES SCHWAB & CO., INC.
June 21, 2007 - July 25, 2007
CHASE INVESTMENT SERVICES CORP.
June 21, 2007 - July 25, 2007
CHASE INVESTMENT SERVICES CORP.
February 21, 2006 - June 21, 2007
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 21, 2007
CITIGROUP GLOBAL MARKETS INC.
April 2, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
June 15, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 20, 1983 - July 9, 2001
MORGAN STANLEY DW 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
Series 15
Date: 8/26/1991
Foreign Currency Options ExaminationSeries 5
Date: 10/7/1986
Interest Rate Options ExaminationSeries 8
Date: 9/8/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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