Jonathan T. Thau
Professional summary
Jonathan Todd Thau was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jonathan is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Jonathan had worked at 6 firms, which includes HORNBLOWER & WEEKS INC., GLOBAL FINANCIAL GROUP INC., THE HERITAGE GROUP INC., HANOVER STERLING & COMPANY LTD., GKN SECURITIES CORP., BILTMORE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2001 - August 27, 2001
HORNBLOWER & WEEKS, INC.
May 17, 1996 - June 5, 2001
GLOBAL FINANCIAL GROUP, INC.
March 22, 1995 - May 24, 1996
THE HERITAGE GROUP, INC.
January 17, 1994 - May 3, 1995
HANOVER, STERLING & COMPANY LTD.
July 2, 1993 - January 18, 1994
GKN SECURITIES CORP.
July 6, 1992 - July 2, 1993
BILTMORE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HORNBLOWER & WEEKS, INC.
CRD#: 4683 / SEC#: , 8-16493
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 6 |
Red Flags
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