Jon S. Landau
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.
Jon Stuart Landau was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1993. Jon had worked at 19 firms and has passed the Series 63 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
September 20, 2004 - December 15, 2004
BROOKSTREET SECURITIES CORPORATION
April 27, 2004 - August 9, 2004
SALOMON GREY FINANCIAL CORPORATION
February 4, 2004 - April 19, 2004
J.P. TURNER & COMPANY, L.L.C.
September 4, 2003 - February 4, 2004
LH ROSS & COMPANY, INC.
April 23, 2002 - October 1, 2003
NEWBRIDGE SECURITIES CORPORATION
February 20, 2001 - April 25, 2002
NATIONAL SECURITIES CORPORATION
January 3, 2001 - February 8, 2001
FIRST COLONIAL SECURITIES
August 23, 2000 - December 21, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 6, 1999 - September 21, 2000
EMERSON BENNETT & ASSOCIATES
June 9, 1998 - July 6, 1998
BAXTER BANKS & SMITH, LTD.
April 30, 1998 - May 22, 1998
MERIT CAPITAL ASSOCIATES, INC.
July 18, 1997 - March 5, 1998
FIRST SECURITIES USA, INC.
June 30, 1997 - July 8, 1997
THE CAMELOT GROUP, INC.
April 1, 1996 - July 14, 1997
JOSEPH CHARLES & ASSOC., INC.
November 3, 1995 - April 24, 1996
D.L. CROMWELL INVESTMENTS, INC.
July 7, 1995 - November 10, 1995
COLIN WINTHROP & CO., INC.
May 18, 1995 - July 5, 1995
THE HERITAGE GROUP, INC.
August 1, 1994 - May 3, 1995
HANOVER, STERLING & COMPANY LTD.
May 17, 1994 - August 4, 1994
GKN SECURITIES CORP.
October 22, 1993 - January 20, 1994
JOSEPH CHARLES & ASSOC., 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
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
