Jonathan F. Gutman
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.
Jonathan Frank Gutman, who also goes by Jonathan F Gutman, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1982. Jonathan had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 14, Series 24, Series 27 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
October 3, 2016 - January 2, 2019
FIRST LIBERTIES FINANCIAL
April 17, 2014 - March 31, 2015
FIRST LIBERTIES FINANCIAL
November 23, 2009 - July 2, 2013
RISE FINANCIAL SERVICES, LLC
January 24, 2005 - June 8, 2005
CASIMIR CAPITAL L.P.
February 26, 2004 - June 17, 2004
CASIMIR CAPITAL L.P.
October 1, 2000 - September 29, 2006
NANDRA GROUP, INC.
October 12, 1988 - January 24, 1992
ADLER COLEMAN & CO., INC.
June 15, 1982 - December 28, 1984
FERRIS, BAKER WATTS, 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 55
Date: 2/28/2004
Limited Representative-Equity Trader ExamSeries 8
Date: 10/1/2000
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
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.
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