Jonathan Klausner
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 Klausner was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1970. Jonathan had worked at 14 firms and has passed the Series 63, Series 18, Series 1, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 1990 - May 9, 2002
RYAN BECK & CO.
November 3, 1989 - October 1, 1990
CITIGROUP GLOBAL MARKETS INC.
August 22, 1989 - November 16, 1989
THE INVESTMENT CENTER, INC.
October 27, 1988 - July 22, 1989
FIRST INTERREGIONAL EQUITY CORP.
March 5, 1986 - September 13, 1988
J. B. HANAUER & CO.
October 25, 1985 - February 13, 1986
TRIPP & CO., INC.
March 19, 1984 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
August 6, 1979 - March 12, 1984
HALPERT AND COMPANY, INC.
May 21, 1979 - September 2, 1979
PHILIPS, APPEL & WALDEN, INC.
March 23, 1979 - May 10, 1979
GIBRALTAR SECURITIES CO.
September 1, 1978 - November 30, 1979
NORTHFIELD INVESTMENTS INC.
January 31, 1978 - April 30, 1979
HAMILTON/COOKE & CO., INC.
April 6, 1976 - October 27, 1976
HALPERT AND COMPANY, INC.
October 29, 1971 - July 28, 1972
UMIC, INC.
December 1, 1970 - April 3, 1971
GRUNTAL & CO., L.L.C.
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 18
Date: 8/24/1978
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 10/11/1968
Registered Representative ExaminationSeries 8
Date: 7/9/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
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.
