JG
Jonathan L. Guss
MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
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CRD#: 1630804
JG
Professional summary
Jonathan Louis Guss, who also goes by Jonathan Lewis Guss, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1987. Jonathan has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan Lewis Guss
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.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Louis Guss'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®
NoneExperience
Current
July 20, 2018 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001BD
CRD#: 19685
NEW YORK, NY
Past
April 17, 2015 - August 7, 2018
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
May 13, 2010 - January 26, 2015
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
May 20, 1997 - May 10, 2010
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
December 5, 1995 - March 24, 1997
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
May 31, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
May 31, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
May 31, 1989 - November 21, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 26, 1987 - July 21, 1987
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
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
Alabama(7/20/2018)
RR
Alaska(7/20/2018)
RR
Arizona(7/20/2018)
RR
Arkansas(7/20/2018)
RR
California(7/20/2018)
RR
Colorado(7/20/2018)
RR
Connecticut(7/20/2018)
RR
Delaware(7/20/2018)
RR
District of Columbia(7/20/2018)
RR
Florida(7/20/2018)
RR
Georgia(7/20/2018)
RR
Hawaii(7/20/2018)
RR
Idaho(7/20/2018)
RR
Illinois(7/20/2018)
RR
Indiana(7/20/2018)
RR
Iowa(7/20/2018)
RR
Kansas(7/20/2018)
RR
Kentucky(7/20/2018)
RR
Louisiana(7/20/2018)
RR
Maine(7/20/2018)
RR
Maryland(7/20/2018)
RR
Massachusetts(7/20/2018)
RR
Michigan(7/20/2018)
RR
Minnesota(7/20/2018)
RR
Mississippi(7/20/2018)
RR
Missouri(7/20/2018)
RR
Montana(7/20/2018)
RR
Nebraska(7/20/2018)
RR
Nevada(7/20/2018)
RR
New Hampshire(7/20/2018)
RR
New Jersey(7/20/2018)
RR
New Mexico(7/20/2018)
RR
New York(7/20/2018)
RR
North Carolina(7/20/2018)
RR
North Dakota(7/20/2018)
RR
Ohio(7/20/2018)
RR
Oklahoma(7/20/2018)
RR
Oregon(7/20/2018)
RR
Pennsylvania(7/20/2018)
RR
Rhode Island(7/20/2018)
RR
South Carolina(7/20/2018)
RR
South Dakota(7/20/2018)
RR
Tennessee(7/20/2018)
RR
Texas(7/20/2018)
RR
Utah(7/20/2018)
RR
Vermont(7/20/2018)
RR
Virginia(7/20/2018)
RR
Washington(7/20/2018)
RR
West Virginia(7/20/2018)
RR
Wisconsin(7/20/2018)
RR
Wyoming(7/20/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MUFG SECURITIES AMERICAS INC.
BOT SECURITIES, INC. | TOKYO-MITSUBISHI SECURITIES (USA), INC. | MUFG SECURITIES AMERICAS INC. | MUFG SECURITIES | MUFG | MITSUBISHI UFJ SECURITIES (USA), INC. | MITSUBISHI SECURITIES (USA), INC.
CRD#: 19685 / SEC#: , 8-43026
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Mailing Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Phone number
(212) 405-7000
Established
New York since 12/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| GARVEY, EILEEN ELIZABETH | INDEPENDENT NON-EXECUTIVE DIRECTOR | 7045039 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KAMLANI, SUNEEL KISHIN | OUTSIDE DIRECTOR | 1856118 |
| KOMORIYA, MASATOSHI | OUTSIDE DIRECTOR | 8066085 |
| LINDENBERG, JONATHAN BLAKE | OUTSIDE DIRECTOR | 2430463 |
| MCHUGH, DENIS TIMOTHY | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1909225 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| SCANDURA, STEPHEN THOMAS | CHIEF COMPLIANCE OFFICER | 4539229 |
| YAMASHITA, ATSUSHI | OUTSIDE DIRECTOR | 7562428 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
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.
