Jonathan G. Fink
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 Guy Fink was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1970. Jonathan had worked at 3 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 1989 - July 5, 1994
SRM SECURITIES, INCORPORATED
December 23, 1977 - January 18, 1989
J.P. MORGAN SECURITIES LLC
January 2, 1970 - February 28, 1978
DEAN WITTER & CO. INCORPORATED
State Registrations and Notice Filings
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Exams
PC
Date: 12/3/1982
AMEX Put and Call ExamSeries 1
Date: 12/15/1969
Registered Representative ExaminationSeries 40
Date: 6/22/1974
Registered Principal ExaminationCurrent Firm
SRM SECURITIES, INCORPORATED
CRD#: 13716 / SEC#: , 8-29681
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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