Jonathan H. Stephens

NEW LINE CAPITAL

Sherman, CT

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CRD#: 1329841

Professional summary

Jonathan Hine Stephens, who also goes by Jonathan Hine Stephens Mr., is a registered financial advisor currently at NEW LINE CAPITAL, LLC located in Sherman, Connecticut.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Jonathan has worked at 11 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Hine Stephens Mr.

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) - RIA

Click below to view Jonathan Hine Stephens's CRS (Customer Relationship Summary).

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

Current

January 21, 2021 - Present

NEW LINE CAPITAL, LLC

RIA

CRD#: 143677

Sherman, CT

Past

January 12, 1999 - December 31, 2001

STIRES & CO., INC.

CRD#: 6813

NEW YORK, NY

Past

December 24, 1996 - November 18, 1998

BROADPOINT DESCAP

CRD#: 14997

NEW YORK, NY

Past

July 23, 1996 - March 7, 1997

STIRES & CO., INC.

CRD#: 6813

NEW YORK, NY

Past

April 11, 1995 - April 11, 1996

NATIVE NATIONS SECURITIES, INC.

CRD#: 334

JERSEY CITY, NJ

Past

July 13, 1994 - March 20, 1995

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

January 1, 1994 - July 5, 1994

COAST ASSET SECURITIES LLC

CRD#: 29319

SANTA MONICA, CA

Past

April 13, 1993 - September 28, 1993

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

January 29, 1992 - December 10, 1992

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 13, 1991 - November 1, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 20, 1990 - November 16, 1990

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 20, 1988 - February 13, 1990

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

April 23, 1985 - November 25, 1985

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/21/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/17/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Current Firm

NEW LINE CAPITAL, LLC

CRD#: 143677 / SEC#: 801-67819

RIA

Registered Investment Advisory firm - (8/29/2014 Terminated)

California

Registered Investment Advisory firm - (12/16/2020 Terminated)

Colorado

Registered Investment Advisory firm - (5/8/2015 Approved)

Connecticut

Registered Investment Advisory firm - (1/21/2021 Approved)

New Jersey

Registered Investment Advisory firm - (5/7/2015 Approved)

New Mexico

Registered Investment Advisory firm - (8/25/2014 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Santa Fe, NM

Mailing Address

P.o. Box 2778, Santa Fe, NM 87504

Phone number

(505) 989-7211

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 29,317,194

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan H. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Hine Stephens's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIRES & CO., INC.

BROADPOINT DESCAP

STIRES & CO., INC.

NATIVE NATIONS SECURITIES, INC.

TRUIST SECURITIES, INC.

COAST ASSET SECURITIES LLC

ALEX. BROWN & SONS INCORPORATED

TUCKER ANTHONY INCORPORATED

UBS FINANCIAL SERVICES INC.

TUCKER ANTHONY INCORPORATED

FLEET ENTERPRISES, INC.

TP ICAP GLOBAL MARKETS AMERICAS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/2020

Series 63

Date: 8/15/1988

Series 3

Date: 4/17/1991

Series 7

Date: 4/20/1985

Current Firm

NEW LINE CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW LINE CAPITAL, LLC

TRUST BUT VERIFY

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