Jonathan L. Ives
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 Lewis Ives was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1999. Jonathan had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2014 - December 31, 2023
SFI CAPITAL GROUP, LLC
January 12, 2012 - March 14, 2014
FIFTH THIRD SECURITIES, INC.
March 16, 2009 - June 10, 2011
HARRIS WILLIAMS
July 22, 2003 - March 17, 2009
NATCITY INVESTMENTS, INC.
April 28, 1999 - August 13, 2001
CREDIT SUISSE SECURITIES (USA) 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SFI CAPITAL GROUP, LLC
CRD#: 141979 / SEC#: , 8-67421
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACHILL BD, LLC | DIRECT OWNER | |
| DORSEY, JOHN WILLIAM | CEO, PRESIDENT, CCO, AMLCO, EXECUTIVE REPRESENTATIVE | 2409227 |
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.
