Jon D. Friedland
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 David Friedland was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1994. Jon had worked at 10 firms and has passed the Series 63, SIE, Series 82, Series 79, 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
June 25, 2018 - November 14, 2021
WOMBAT CAPITAL MARKETS LLC
May 25, 2017 - June 1, 2018
ENGLAND SECURITIES, LLC
August 9, 2010 - April 30, 2014
BRIDGE CAPITAL ASSOCIATES, INC.
June 17, 2008 - August 9, 2010
MID-MARKET SECURITIES, LLC
April 12, 2005 - July 27, 2007
ROTHSCHILD & CO US INC.
March 9, 2004 - April 5, 2005
GROTON SECURITIES LLC
October 16, 2002 - February 27, 2004
LAZARD FRERES & CO. LLC
May 19, 1998 - July 17, 2002
DRESDNER KLEINWORT WASSERSTEIN, LLC
March 23, 1995 - April 7, 1998
FINANCIAL SQUARE PARTNERS
August 22, 1994 - January 16, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
WOMBAT CAPITAL MARKETS LLC
CRD#: 162699 / SEC#: , 8-69059
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOMBAT WORLDWIDE GROUP | SOLE MEMBER | |
| EFREM, KATHY KHATINA | FINOP | 3248100 |
| MONDOLONI, JEAN-JACQUES | PRESIDENT, CEO &, CCO |
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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