Jonathan M. Schultz
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 Myles Schultz, who also goes by Jonathan M. Schultz, Jonathan Myles Schultz, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1994. Jonathan had worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2020 - March 14, 2025
CASTLEOAK SECURITIES, LP
November 27, 2017 - May 4, 2020
CANTOR FITZGERALD & CO.
April 26, 2006 - November 7, 2016
COWEN EXECUTION SERVICES LLC
October 20, 2004 - December 20, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 19, 2002 - September 17, 2002
ROBERTSON STEPHENS, INC.
April 17, 1995 - October 20, 2004
QUICK & REILLY, INC.
January 16, 1995 - June 13, 1995
TD AMERITRADE, INC.
August 23, 1994 - December 13, 1994
GKN SECURITIES CORP.
August 17, 1994 - August 31, 1994
CONTINENTAL BROKER-DEALER CORP.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 1/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
