Jonathan S. Smith
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 Scott Smith was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2000. Jonathan had worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2019 - November 27, 2020
BFC CAPITAL LLC
November 2, 2009 - April 30, 2019
WATERWAY CAPITAL LLC
January 18, 2007 - June 26, 2009
WELLS FARGO SECURITIES, LLC
July 1, 2004 - May 24, 2005
SOVEREIGN SECURITIES CORPORATION, LLC
September 5, 2000 - March 31, 2004
APEX CLEARING CORPORATION
April 25, 2000 - September 5, 2000
ROBERTSON STEPHENS, INC.
March 22, 2000 - May 5, 2000
APEX CLEARING 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
Exams
Series 7TO
Date: 3/31/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/31/2024
Investment Banking Registered Representative ExaminationCurrent Firm
BFC CAPITAL LLC
CRD#: 299519 / SEC#: , 8-70272
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
