Jonathan H. Proby
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 Hall Proby, who also goes by Jon Hall Proby, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1994. Jonathan had worked at 15 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
May 10, 2013 - November 5, 2013
INTERVEST INTERNATIONAL EQUITIES CORPORATION
June 14, 2010 - May 17, 2011
1792 SECURITIES, LLC
May 22, 2007 - August 14, 2008
AFFILIATED FUNDING CORP.
October 27, 2003 - January 5, 2004
CP CAPITAL SECURITIES
October 17, 2003 - June 14, 2005
KOVACK SECURITIES INC.
June 17, 2002 - December 20, 2002
VERAVEST INVESTMENTS, INC.
November 15, 2001 - May 7, 2002
HIGH MARK SECURITIES, INC.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
July 17, 2001 - August 31, 2001
SSI SECURITIES CORP.
April 23, 2001 - July 23, 2001
WAMU INVESTMENTS, INC.
January 24, 2001 - April 17, 2001
AMFIN INVESTMENT SERVICES, INC.
October 21, 1999 - February 9, 2001
PRIME CAPITAL SERVICES, INC.
July 11, 1997 - October 19, 1999
WILLIAM R. HOUGH & CO.
July 17, 1995 - July 1, 1997
AMERIPRISE ADVISOR SERVICES, INC.
February 11, 1994 - June 23, 1995
NATIONSSECURITIES
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
INTERVEST INTERNATIONAL EQUITIES CORPORATION
CRD#: 20289 / SEC#: , 8-38156
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
