Jeffrey Johnathan
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.
Jeffrey Johnathan was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1998. Jeffrey had worked at 3 firms and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2011 - February 10, 2015
HAMPTON SECURITIES (USA), INC.
February 8, 2000 - December 19, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1998 - November 2, 1998
TD SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 38
Date: 5/30/2011
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
HAMPTON SECURITIES (USA), INC.
CRD#: 46816 / SEC#: , 8-51558
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
