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JH

Jon A. Highum

LOOP CAPITAL MARKETS LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 1848219
JH

Professional summary

Jon Alan Highum, who also goes by Jon Highum, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Charlotte, North Carolina.

Jon is registered as a RR (Registered Representative) and started their career in finance in 1992. Jon has worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 7, Series 52, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Highum

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 Jon Alan Highum'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

November 7, 2024 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 6000 Fairview Road Suite 1200, Charlotte, NC 28210
RIA
BD
CRD#: 43098
Charlotte, NC
Past

October 24, 2023 - August 16, 2024

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

April 2, 2018 - October 11, 2023

PIPER SANDLER & CO.

BD
CRD#: 665
CHARLOTTE, NC
Past

December 5, 2016 - February 22, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHARLOTTE, NC
Past

April 1, 2014 - May 27, 2015

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

BD
CRD#: 5958
CHARLOTTE, NC
Past

May 31, 2011 - July 15, 2016

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

May 25, 2006 - May 17, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SEATTLE, WA
Past

January 22, 2004 - May 17, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SEATTLE, WA
Past

January 3, 2003 - January 23, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 2, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

September 21, 1995 - October 5, 2000

SEATTLE-NORTHWEST SECURITIES CORPORATION

BD
CRD#: 10639
SEATTLE, WA
Past

April 5, 1994 - February 28, 1995

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

September 4, 1992 - February 28, 1994

U.S. BANCORP SECURITIES

BD
CRD#: 17439
PORTLAND, OR

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
Alaska
(4/21/2025)
RR
Arizona
(3/21/2025)
RR
Arkansas
(1/5/2026)
RR
California
(11/21/2024)
RR
Colorado
(3/21/2025)
RR
Florida
(11/21/2024)
RR
Georgia
(11/13/2025)
RR
Hawaii
(8/12/2025)
RR
Idaho
(11/21/2024)
RR
Maryland
(1/21/2025)
RR
Minnesota
(11/21/2024)
RR
Nebraska
(11/21/2024)
RR
New Jersey
(3/21/2025)
RR
New York
(1/21/2025)
RR
North Carolina
(11/7/2024)
RR
Ohio
(1/24/2025)
RR
Oregon
(3/21/2025)
RR
South Carolina
(3/21/2025)
RR
Texas
(11/21/2024)
RR
Virginia
(11/21/2024)
RR
Washington
(11/21/2024)
RR
Wisconsin
(12/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/24/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 6/9/1988
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/28/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/7/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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

LOOP CAPITAL MARKETS LLC

CRD#: 43098Charlotte, NC 28210

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