Jonathan Broder
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 Broder, who also goes by Jonathan D Broder, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2001. Jonathan had worked at 7 firms and has passed the Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2021 - April 17, 2024
ICE SECURITIES EXECUTION & CLEARING, LLC
November 23, 2020 - July 15, 2021
ICE SECURITIES EXECUTION & CLEARING, LLC
November 20, 2020 - April 17, 2024
ICE BONDS SECURITIES CORPORATION
February 24, 2010 - March 24, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 13, 2004 - March 25, 2008
LEHMAN BROTHERS INC.
August 30, 2004 - October 14, 2004
UBS FINANCIAL SERVICES INC.
August 30, 2004 - November 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2001 - March 27, 2003
CIBC WORLD MARKETS 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 7TO
Date: 11/20/2020
General Securities Representative ExaminationCurrent Firm
ICE SECURITIES EXECUTION & CLEARING, LLC
CRD#: 299634 / SEC#: , 8-70258
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
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