Jonathan S. Schaub
Professional summary
Jonathan Scott Schaub is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Phoenix, Arizona.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1999. Jonathan has worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Scott Schaub's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 2700 North Central Avenue 12th Floor, Phoenix, AZ, 85004December 22, 2023 - September 30, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
December 21, 2023 - September 30, 2024
OSAIC INSTITUTIONS, INC.
May 7, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
May 7, 2021 - August 23, 2024
TRIAD ADVISORS LLC
July 31, 2019 - November 3, 2023
FSC SECURITIES CORPORATION
July 31, 2019 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
January 24, 2017 - September 30, 2024
OSAIC WEALTH, INC.
June 1, 2015 - September 1, 2023
OSAIC SERVICES, INC.
June 27, 2012 - October 22, 2014
CHARLES SCHWAB & CO., INC.
October 31, 2005 - April 9, 2012
OSAIC SERVICES, INC.
March 9, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 3, 2004 - March 10, 2005
CHASE INVESTMENT SERVICES CORP.
September 15, 2003 - March 4, 2005
BANC ONE SECURITIES CORPORATION
September 19, 2002 - October 3, 2003
1717 CAPITAL MANAGEMENT COMPANY
June 6, 2002 - August 23, 2002
PRINCIPAL SECURITIES, INC.
September 28, 2000 - January 28, 2002
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 2, 2000 - October 10, 2000
CHARLES SCHWAB & CO., INC.
January 25, 1999 - June 21, 1999
SUNAMERICA SECURITIES, 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
(12/17/2024)
Exams
FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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