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JG

Jonas S. Grossman

CHARDAN CAPITAL MARKETS LLC
NEW YORK, NY 10119
Some features on this profile are disabled
CRD#: 3186901
JG

Professional summary

Jonas Sven Magnus Grossman is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.

Jonas is registered as a RR (Registered Representative) and started their career in finance in 1999. Jonas has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 79, Series 55, Series 7, Series 4 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) - BD

Click below to view Jonas Sven Magnus Grossman's CRS (Customer Relationship Summary).
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

January 14, 2004 - Present

CHARDAN CAPITAL MARKETS LLC

Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119
BD
CRD#: 120128
NEW YORK, NY
Past

April 6, 2001 - December 5, 2003

RAMIUS SECURITIES LLC

BD
CRD#: 41076
NEW YORK, NY
Past

June 23, 2000 - April 2, 2001

WINDSOR CAPITAL ADVISORS, LLC

BD
CRD#: 47317
MELVILLE, NY
Past

April 12, 1999 - July 18, 2000

AEGIS CAPITAL CORP.

BD
CRD#: 15007
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
Alabama
(3/31/2008)
RR
Arkansas
(2/11/2009)
RR
District of Columbia
(3/19/2008)
RR
Illinois
(4/10/2008)
RR
Indiana
(6/5/2015)
RR
Massachusetts
(3/25/2008)
RR
Nevada
(3/19/2008)
RR
New York
(1/31/2004)
RR
Ohio
(6/12/2008)
RR
Puerto Rico
(7/14/2015)
RR
Texas
(4/24/2008)
RR
Utah
(6/1/2009)
RR
Vermont
(7/7/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/19/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 4/29/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/9/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/2/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/7/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CC
CHARDAN CAPITAL MARKETS LLC
CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

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

Main Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Mailing Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Phone number
(646) 465-9000
Established
New York since 03/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARDAN SECURITIES, LLCMEMBER
GROSSMAN, JONAS SVEN MAGNUSPRESIDENT3186901
MILLER, ANDREW DAVIDFINOP5106774
MILLER, ANDREW DAVIDPRINCIPAL OPERATIONS CFFICER5106774
MILLER, ANDREW DAVIDPRINCIPAL FINANCIAL OFFICER5106774
SOUTHWICK, DWIGHT CHRISTIANCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1353036
URBACH, STEVEN AARONCEO4137317

Disclosures

Regulatory Event14

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

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128New York, NY 10119

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