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Jonathan Hotchkiss Niles Iii

CRD# 1372482·Registered 1985 - 2018
Previously Registered: Being a previously registered professional could mean that Jonathan 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.

Professional Summary

Jonathan Hotchkiss Niles III was a registered financial advisor. Jonathan was a previously registered financial professional and started their career in finance 1985 - 2018. Jonathan had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

41 years in the financial services industry

Current & Past Employments

GREYWOLF EXECUTION PARTNERS, INC.·CRD# 147790
BD
New York, NY
July 3, 2017 - April 30, 2018
WALL STREET ACCESS·CRD# 10012
BD
New York, NY
April 25, 2016 - June 27, 2017
CLANCY FINANCIAL SERVICES, INC.·CRD# 133379
BD
New York, NY
June 15, 2015 - May 16, 2016
DERMOTT W. CLANCY CORP.·CRD# 37451
BD
New York, NY
October 27, 2010 - May 4, 2016
JOHN N. SEIP & CO., INC.·CRD# 35501
BD
New York, NY
August 19, 2005 - October 28, 2010
ETHOS SECURITIES CORP.·CRD# 125605
BD
Upper Saddle River, NJ
July 29, 2003 - December 6, 2005
ALVERIO, LOUIS RICHARD·CRD# 122930
BD
New York, NY
September 26, 2002 - July 29, 2003
LABRANCHE FINANCIAL SERVICES, LLC·CRD# 7432
BD
New York, NY
March 27, 2002 - August 8, 2003
ETHOS SECURITIES SP·CRD# 32445
BD
Atlantic Highlands, NJ
March 6, 2002 - June 3, 2002
THE GRISWOLD COMPANY, INCORPORATED·CRD# 32944
BD
New York, NY
October 1, 2000 - March 4, 2002
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
May 21, 1985 - December 3, 1998

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Current Firm

GE
GREYWOLF EXECUTION PARTNERS, INC.

GREYWOLF EQUITY PARTNERS, INC. | GREYWOLF EXECUTION PARTNERS, INC.

CRD#: 147790 / SEC#: 8-67931
BD
Terminated by SEC on 04/30/2018

Contact Information

Established

New York since 03/26/2008

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MARTIN, CHRISTOPHER LEECEO/CCO2464270
TRIMBLE, DANIEL JOHNSHAREHOLDER2412203
GEORGE, KENNETH RONALDFINOP/CFO/COO2643369

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2006About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1985About the Series 7 exam

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CRS (Client Relationship Summary)

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

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