Jonathan S. Ehrlich
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 Seth Ehrlich, who also goes by Jonathan Ehrlich, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 8 firms and has passed the Series 63, Series 55 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
March 3, 2003 - July 28, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
November 21, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
May 7, 2001 - December 12, 2001
AUERBACH, POLLAK & RICHARDSON INC.
April 6, 1999 - May 10, 2001
LADENBURG THALMANN & CO. INC.
October 17, 1997 - September 22, 1998
BLUESTONE CAPITAL CORP.
June 16, 1997 - October 21, 1997
ROYAL HUTTON SECURITIES CORP.
April 18, 1997 - July 18, 1997
INVESTORS ASSOCIATES, INC.
August 20, 1996 - February 24, 1997
STERLING FOSTER & COMPANY, INC.
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 55
Date: 3/13/2004
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
