Jonathan H. Blum
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 H Blum, who also goes by Jonathan Blum, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1993. Jonathan had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2018 - September 13, 2019
DAWSON JAMES SECURITIES, INC.
November 15, 2013 - December 3, 2018
WESTPARK CAPITAL, INC.
February 21, 2013 - December 12, 2013
THE BENCHMARK COMPANY, LLC
April 30, 2012 - February 26, 2013
NOBLE CAPITAL MARKETS, INC.
February 10, 2010 - May 3, 2012
DAWSON JAMES SECURITIES, INC.
February 1, 2010 - February 12, 2010
HUDSON SECURITIES,INC.
June 1, 2007 - February 1, 2010
NEXT GENERATION EQUITY RESEARCH LLC
January 30, 2006 - March 16, 2007
NEW YORK GLOBAL SECURITIES, INC.
January 16, 2003 - February 27, 2006
JESUP & LAMONT SECURITIES CORP
May 9, 2001 - November 12, 2002
BLAYLOCK & COMPANY, INC.
May 4, 1998 - January 16, 2001
PRUDENTIAL EQUITY GROUP, LLC
November 29, 1997 - March 13, 1998
SALOMON BROTHERS INC.
August 28, 1996 - March 13, 1998
CITIGROUP GLOBAL MARKETS INC.
August 6, 1993 - June 4, 1996
J.P. MORGAN SECURITIES INC.
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
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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