Jonathan M. Saxon
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 Marc Saxon was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1995. Jonathan had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 22 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
March 12, 2025 - January 8, 2026
INVESTEC SECURITIES (US) LLC
June 3, 2016 - February 25, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 6, 2012 - May 31, 2016
BERENBERG CAPITAL MARKETS LLC
November 4, 2010 - May 31, 2012
COWEN SECURITIES LLC
December 11, 2006 - November 3, 2010
KEPLER CAPITAL MARKETS, INC.
February 2, 2001 - September 19, 2006
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
February 28, 1997 - March 10, 2000
GOLDMAN SACHS & CO. LLC
February 21, 1995 - February 12, 1997
ATEL SECURITIES CORPORATION
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
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
Red Flags
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