Jonathan B. Williams
Professional summary
Being a previously registered professional could mean that this person 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.
Jonathan Brownell Williams was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1987. Jonathan had worked at 6 firms and has passed the Series 63, SIE, Series 52, Series 3, Series 7, Series 62, Series 6, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2013 - September 13, 2016
TRADEWEB LLC
June 10, 1993 - March 24, 1998
FINANCIAL SQUARE PARTNERS
August 6, 1992 - June 2, 1993
ELECTRONIC TRADING SYSTEMS, L.P.
September 15, 1989 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 10, 1989 - September 16, 1989
THOMSON MCKINNON SECURITIES INC.
December 16, 1987 - March 27, 1989
LIBERTY FIRST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 9/1/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
TRADEWEB LLC
CRD#: 42759 / SEC#: , 8-49994
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB GLOBAL LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER | 4291263 |
| PITTINSKY, JONATHAN DAVID | DIRECTOR OF FINANCIAL OPERATIONS, FIN-OP PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
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.
