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JF

Jon M. Finocchio

MARKETAXESS
New York, NY 10001
Some features on this profile are disabled
CRD#: 3181430
JF

Professional summary

Jon Mclane Finocchio, who also goes by Jon Finocchio, is a registered financial professional currently at MARKETAXESS CORPORATION located in New York, New York.

Jon is registered as a RR (Registered Representative) and started their career in finance in 2005. Jon has worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO, SIE, Series 25, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Finocchio

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) - BD

Click below to view Jon Mclane Finocchio's CRS (Customer Relationship Summary).

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

Current

December 16, 2025 - Present

MARKETAXESS CORPORATION

Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001
BD
CRD#: 44542
New York, NY
Past

April 5, 2022 - December 16, 2025

PRAGMA LLC

BD
CRD#: 136453
NEW YORK, NY
Past

June 18, 2012 - December 1, 2017

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

August 2, 2010 - July 18, 2012

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

July 20, 2009 - July 21, 2010

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
JERSEY CITY, NJ
Past

November 2, 2005 - July 8, 2008

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 7/12/2022
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/26/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/5/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 3/22/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 10/23/2014
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 55
Date: 9/21/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/1/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

MC
MARKETAXESS CORPORATION
MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB | PRAGMA

CRD#: 44542 / SEC#: , 8-50727

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

Main Address
55 Hudson Yards 15th Floor, New York, NY 10001
Mailing Address
55 Hudson Yards 15th Floor, New York, NY 10001
Phone number
(212) 813-6000
Established
Delaware since 09/12/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS INC.SHAREHOLDER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER6980135
CONCANNON, CHRISTOPHER RCHIEF EXECUTIVE OFFICER2169224
PINTOFF, SCOTT ERICGENERAL COUNSEL & CHIEF LEGAL OFFICER6281715
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

Disclosures

Regulatory Event1

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

MARKETAXESS CORPORATION

CRD#: 44542New York, NY 10001

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