JS
Jonathan P. Simon
STONEX FINANCIAL
New York, NY 10169
Some features on this profile are disabled
CRD#: 2010877
JS
Professional summary
Jonathan Paul Simon, who also goes by Jonathan Paul Simon, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1990. Jonathan has worked at 11 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan Paul Simon
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 Paul Simon'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
April 2, 2025 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169BD
CRD#: 45993
New York, NY
Past
March 29, 2024 - April 9, 2025
BERNSTEIN INSTITUTIONAL SERVICES LLC
BD
CRD#: 317807
NEW YORK, NY
Past
April 16, 2021 - March 29, 2024
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NEW YORK, NY
Past
July 27, 2020 - August 25, 2021
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
August 17, 2015 - February 13, 2020
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 15, 2012 - August 18, 2015
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
May 25, 2004 - June 25, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 19, 2001 - June 1, 2004
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 13, 1996 - June 15, 2001
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
June 11, 1990 - April 26, 1996
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
February 13, 1990 - June 1, 1990
FIRST INVESTORS MANAGEMENT COMPANY, INC.
BD
CRD#: 1844
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(4/2/2025)
RR
Alaska(4/2/2025)
RR
Arizona(4/2/2025)
RR
Arkansas(4/2/2025)
RR
California(4/2/2025)
RR
Colorado(4/2/2025)
RR
Connecticut(4/2/2025)
RR
Delaware(4/2/2025)
RR
District of Columbia(4/2/2025)
RR
Florida(4/2/2025)
RR
Georgia(4/2/2025)
RR
Hawaii(4/2/2025)
RR
Idaho(4/2/2025)
RR
Illinois(4/2/2025)
RR
Indiana(4/2/2025)
RR
Iowa(4/2/2025)
RR
Kansas(4/2/2025)
RR
Kentucky(4/2/2025)
RR
Louisiana(4/2/2025)
RR
Maine(4/2/2025)
RR
Maryland(4/2/2025)
RR
Massachusetts(4/2/2025)
RR
Michigan(4/2/2025)
RR
Minnesota(4/2/2025)
RR
Mississippi(4/2/2025)
RR
Missouri(4/2/2025)
RR
Montana(4/2/2025)
RR
Nebraska(4/2/2025)
RR
Nevada(4/2/2025)
RR
New Hampshire(4/2/2025)
RR
New Jersey(4/2/2025)
RR
New Mexico(4/2/2025)
RR
New York(4/2/2025)
RR
North Carolina(4/2/2025)
RR
North Dakota(4/2/2025)
RR
Ohio(4/3/2025)
RR
Oklahoma(4/2/2025)
RR
Oregon(4/2/2025)
RR
Pennsylvania(4/2/2025)
RR
Puerto Rico(4/2/2025)
RR
Rhode Island(4/2/2025)
RR
South Carolina(4/2/2025)
RR
South Dakota(4/2/2025)
RR
Tennessee(4/2/2025)
RR
Texas(4/2/2025)
RR
Utah(4/2/2025)
RR
Vermont(4/2/2025)
RR
Virgin Islands(4/2/2025)
RR
Virginia(4/2/2025)
RR
Washington(4/2/2025)
RR
West Virginia(4/2/2025)
RR
Wisconsin(4/2/2025)
RR
Wyoming(4/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/2/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
