JG
Jonathan J. Greenfield
Some features on this profile are disabled
CRD#: 2591266
JG
Professional summary
Jonathan Jay Greenfield was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jonathan is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Jonathan had worked at 9 firms, which includes ARETE WEALTH ADVISORS LLC, ARETE WEALTH MANAGEMENT LLC, FINANCIAL WEST GROUP, MORGAN PEABODY INC., SENTRA SECURITIES CORPORATION, SII INVESTMENTS INC., H.J. MEYERS & CO. INC., THE BOSTON GROUP, LAZAR FREDERICK & COMPANY.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jon Greenfield | Jonny Greenfield
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 14, 2010 - December 6, 2013
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
CHICAGO, IL
Past
March 19, 2010 - December 6, 2013
ARETE WEALTH MANAGEMENT, LLC
BD
CRD#: 44856
WOODLAND HILLS, CA
Past
October 15, 2008 - March 19, 2010
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WOODLAND HILLS, CA
Past
October 14, 2008 - March 19, 2010
FINANCIAL WEST GROUP
BD
CRD#: 16668
WOODLAND HILLS, CA
Past
March 22, 2006 - October 12, 2006
MORGAN PEABODY, INC.
RIA
CRD#: 38306
STUDIO CITY, CA
Past
April 27, 2004 - November 3, 2008
MORGAN PEABODY, INC.
BD
CRD#: 38306
STUDIO CITY, CA
Past
October 21, 2003 - May 3, 2004
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
March 11, 2003 - October 3, 2003
SII INVESTMENTS, INC.
RIA
CRD#: 2225
STUDIO CITY, CA
Past
March 7, 2003 - October 3, 2003
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
August 23, 2001 - December 31, 2002
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
SANTA MONICA, CA
Past
April 3, 1997 - March 13, 2003
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
August 2, 1996 - March 20, 1997
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
March 7, 1996 - July 22, 1996
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
March 17, 1995 - January 16, 1996
LAZAR FREDERICK & COMPANY
BD
CRD#: 15615
BEVERLY HILLS, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
