Jonathan N. Schonberg

ALPS DISTRIBUTORS

NEW YORK, NY 10011-6901

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CRD#: 3211200

Professional summary

Jonathan Neal Schonberg is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1999. Jonathan has worked at 8 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Jonathan Neal Schonberg'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

August 19, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 104 5th Avenue Floor 9, New York, NY 10011-6901

CRD#: 16853

NEW YORK, NY

Past

September 15, 2023 - July 15, 2024

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

CRD#: 153322

PORTSMOUTH, NH

Past

January 4, 2021 - October 21, 2021

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

New York, NY

Past

November 9, 2018 - January 29, 2020

PEOPLE'S SECURITIES, INC.

CRD#: 13704

New York, NY

Past

October 18, 2018 - January 29, 2020

PEOPLE'S UNITED ADVISORS, INC.

RIA

CRD#: 292454

New York, NY

Past

August 1, 2011 - February 2, 2016

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK CITY, NY

Past

November 20, 2006 - August 1, 2011

FORESIDE FUND SERVICES, LLC

CRD#: 46106

NEW YORK, NY

Past

November 29, 2000 - November 3, 2005

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

May 13, 1999 - November 16, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

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

Alabama
(9/17/2025)

Alaska
(8/19/2025)

Arizona
(8/19/2025)

Arkansas
(8/19/2025)

California
(8/19/2025)

Colorado
(8/19/2025)

Connecticut
(8/19/2025)

Florida
(9/17/2025)

Georgia
(9/17/2025)

Hawaii
(8/19/2025)

Idaho
(8/19/2025)

Iowa
(8/19/2025)

Kansas
(8/19/2025)

Kentucky
(9/17/2025)

Louisiana
(8/19/2025)

Maryland
(8/19/2025)

Michigan
(8/19/2025)

Minnesota
(8/19/2025)

Mississippi
(8/19/2025)

Missouri
(8/19/2025)

Montana
(8/19/2025)

Nebraska
(8/19/2025)

Nevada
(8/19/2025)

New Mexico
(8/19/2025)

New York
(8/19/2025)

North Dakota
(8/19/2025)

Oklahoma
(8/19/2025)

Oregon
(8/19/2025)

South Dakota
(8/19/2025)

Tennessee
(9/17/2025)

Texas
(8/19/2025)

Utah
(8/19/2025)

Washington
(8/19/2025)

Wisconsin
(8/19/2025)

Wyoming
(8/19/2025)

Exams

State Security Law Exam

Series 63

Date: 10/11/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/1/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/12/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/12/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan N. Schonberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Neal Schonberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

PEOPLE'S SECURITIES, INC.

PEOPLE'S UNITED ADVISORS, INC.

ALPS DISTRIBUTORS, INC.

FORESIDE FUND SERVICES, LLC

SENTINEL FINANCIAL SERVICES COMPANY

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/2018

Series 65

Date: 10/4/2018

Series 66

Date: 6/1/1999

SIE

Date: 2/2/2016

Series 31

Date: 7/12/1999

Series 7

Date: 5/12/1999

Series 24

Date: 5/15/2024

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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