Jonathan S. Shapse
Professional summary
Jonathan Samuel Shapse, who also goes by Jon Shapse, Jonathan S Shapse, Jonathan Shapse, is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1994. Jonathan has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Samuel Shapse's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2013 - Present
PUMA CAPITAL, LLC
Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10580October 10, 2000 - December 14, 2012
CREDIT SUISSE SECURITIES (USA) LLC
April 3, 2000 - October 10, 2000
PERSHING LLC
August 11, 1997 - April 5, 2000
ABN AMRO INCORPORATED
July 14, 1997 - April 19, 2000
ABN AMRO ASIA INC.
November 4, 1994 - July 17, 1997
NATWEST SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2014)
(3/8/2013)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/26/1999
Limited Representative-Equity Trader ExamCboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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