Jonathan Green
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 Green, who also goes by Jonathan Brody Green, 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 87, Series 86 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
October 11, 2010 - July 10, 2012
W.A. CAPITAL MARKETS
December 12, 2008 - July 23, 2010
NATWEST MARKETS SECURITIES INC.
May 31, 2007 - December 12, 2008
RBS SECURITIES CORPORATION
March 15, 2006 - April 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2004 - October 11, 2005
DOWLING & PARTNERS SECURITIES LLC
February 26, 2001 - October 3, 2002
COMMERZ MARKETS LLC
November 8, 2000 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
December 24, 1996 - November 7, 2000
J.P. MORGAN SECURITIES LLC
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
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
