Jon Letang
Professional summary
Jon Letang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jon is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Jon had worked at 10 firms, which includes JOSEPHTHAL & CO. INC., MORGAN STANLEY DW INC., STANFORD GROUP COMPANY, WELLS FARGO CLEARING SERVICES LLC, PRINCIPAL FINANCIAL SECURITIESINC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., LEHMAN SPECIAL SECURITIES INC., LEHMAN GOVERNMENT SECURITIES INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2000 - November 28, 2000
JOSEPHTHAL & CO., INC.
June 9, 2000 - October 31, 2000
MORGAN STANLEY DW INC.
November 3, 1999 - June 9, 2000
STANFORD GROUP COMPANY
March 9, 1998 - November 5, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1997 - March 9, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
May 13, 1996 - July 18, 1997
UBS FINANCIAL SERVICES INC.
June 6, 1995 - May 23, 1996
CIBC WORLD MARKETS CORP.
September 18, 1991 - March 29, 1993
LEHMAN SPECIAL SECURITIES INC.
September 18, 1991 - March 29, 1993
LEHMAN GOVERNMENT SECURITIES INC.
September 18, 1991 - June 5, 1995
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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