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JT

Jonathan Y. Thomas

COMMONWEALTH PHARMA SECURITIES
Marshfield, MA 02050
Some features on this profile are disabled
CRD#: 1374060
JT

Professional summary

Jonathan York Thomas is a registered financial advisor currently at COMMONWEALTH PHARMA SECURITIES located in Marshfield, Massachusetts.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1986. Jonathan has worked at 4 firms and has passed the Series 63, Series 65, Series 79TO, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Jonathan York Thomas's CRS (Customer Relationship Summary).
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

October 19, 2021 - Present

COMMONWEALTH PHARMA SECURITIES

Office #1: 2016 Ocean Street, Marshfield, MA 02050
BD
CRD#: 121990
Marshfield, MA
Past

February 2, 2006 - October 28, 2013

SAYBROOK ADVISORS, LLC

RIA
CRD#: 139018
LOS ANGELES, CA
Past

June 26, 1990 - August 8, 2013

SAYBROOK CAPITAL CORPORATION

BD
CRD#: 26398
SANTA MONICA, CA
Past

May 23, 1986 - February 6, 1990

EHRLICH-BOBER & CO., INC.

BD
CRD#: 6998

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/23/2022)
RR
Massachusetts
(10/20/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/1/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/18/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/23/1990
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
COMMONWEALTH PHARMA SECURITIES
COMMONWEALTH APEIRON | COMMONWEALTH PHARMA SECURITIES LLC | COMMONWEALTH PHARMA SECURITIES

CRD#: 121990 / SEC#: , 8-65456

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
2016 Ocean Street, Marshfield, MA 02050
Mailing Address
2016 Ocean Street, Marshfield, MA 02050
Phone number
(617) 367-0099
Established
Delaware since 06/10/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WAGER, JEFFREY DAVIDOWNER
FLYNN, PETER FRANCISCHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER/MANAGER2655124
THOMAS, JONATHAN YORKSENIOR BANKER1374060

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.

Company Information

COMMONWEALTH PHARMA SECURITIES

CRD#: 121990Marshfield, MA 02050

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