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JB

Jonathan E. Breckenridge

Some features on this profile are disabled
CRD#: 3175001
JB

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 Edward Breckenridge was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1999. Jonathan had worked at 4 firms and has passed the SIE, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 12, 2013 - July 16, 2013

REDI GLOBAL TECHNOLOGIES LLC

BD
CRD#: 41924
NEW YORK, NY
Past

April 12, 2013 - July 14, 2015

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

November 27, 2000 - July 14, 2015

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 23, 1999 - December 1, 2000

MARKETXT, INC.

BD
CRD#: 43478
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/14/2015
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 10/17/2007
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/1999
General Securities Principal Examination

Current Firm

RG
REDI GLOBAL TECHNOLOGIES LLC
REDI GLOBAL TECHNOLOGIES LLC | SPEAR, LEEDS & KELLOGG SPECIALISTS LLC

CRD#: 41924 / SEC#: , 8-49673

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
28 Liberty Street 58th Floor, New York, NY, 10005
Mailing Address
28 Liberty Street 58th Floor Attn Mmaloney, New York, NY, 10005
Phone number
(646) 794-7364
Established
New York since 09/13/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
REFINITIV US LLCOWNER
BALTOVSKI, ALEXANDER NMNFINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO2350828
CUTLER, SETHDIRECTOR2594208
IAMSCICOV WEIGL, KATARINACHIEF COMPLIANCE OFFICER AND SECRETARY7893210
MALONEY, MICHAEL GDIRECTOR, CEO, MANAGING PRINCIPAL5728423
SIBLEY, JOHN HOLDENDIRECTOR5781488

Disclosures

Regulatory Event7

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.

Company Information

REDI GLOBAL TECHNOLOGIES LLC

CRD#: 41924

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