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JD

Jonathan B. Dong

CASTLEOAK SECURITIES, LP
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 3247514
JD

Professional summary

Jonathan Brian Dong is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in Chicago, Illinois.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1999. Jonathan has worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 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 Jonathan Brian Dong'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

May 6, 2025 - Present

CASTLEOAK SECURITIES, LP

Office #1: 320 W. Ohio Street Suite 310, Chicago, IL 60654
BD
CRD#: 125334
Chicago, IL
Past

June 15, 2020 - April 24, 2025

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
CHICAGO, IL
Past

May 12, 2014 - May 21, 2020

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
CHICAGO, IL
Past

September 22, 2008 - February 27, 2014

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
CHICAGO, IL
Past

September 23, 1999 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
Connecticut
(5/9/2025)
RR
Georgia
(5/9/2025)
RR
Illinois
(5/6/2025)
RR
Indiana
(5/9/2025)
RR
Iowa
(5/9/2025)
RR
Massachusetts
(5/9/2025)
RR
Michigan
(5/9/2025)
RR
Minnesota
(5/9/2025)
RR
Missouri
(5/9/2025)
RR
New York
(5/6/2025)
RR
North Carolina
(5/9/2025)
RR
Ohio
(5/9/2025)
RR
Texas
(5/9/2025)
RR
Wisconsin
(5/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/13/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/13/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CASTLEOAK SECURITIES, LP
BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

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

Main Address
200 Vesey Street Fl 04, New York, NY 10281
Mailing Address
200 Vesey St Fl 04, New York, NY 10281
Phone number
(646) 521-6700
Established
Delaware since 07/01/2004
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# 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#
JONES, DAVID RODERICKCHIEF EXECUTIVE OFFICER2389684
CASTLEOAK MANAGEMENT, LLCGENERAL PARTNER
GOMEZ, LUIS JFINOP AND PRINCIPAL FINANCIAL OFFICER4974439
IPPOLITO, PHILIPCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1072137
SKINNER, JEFFREY THOMASSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4078336

Disclosures

Regulatory Event2
Civil 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

CASTLEOAK SECURITIES, LP

CRD#: 125334Chicago, IL 60654

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