Jeffrey S. Nathanson
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.
Jeffrey Stuart Nathanson was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1970. Jeffrey had worked at 11 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1997 - December 31, 2001
LADENBURG THALMANN & CO. INC.
September 25, 1995 - April 11, 1997
MESIROW FINANCIAL, INC.
January 18, 1993 - September 25, 1995
RODMAN & RENSHAW INC.
January 10, 1991 - January 21, 1993
MORGAN STANLEY DW INC.
January 5, 1988 - January 9, 1991
FINANCIAL SQUARE PARTNERS
May 14, 1981 - January 6, 1988
COWEN SECURITIES INC.
April 27, 1981 - April 27, 1982
FINANCIAL SQUARE PARTNERS
January 31, 1980 - May 16, 1981
UBS FINANCIAL SERVICES INC.
July 9, 1974 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 14, 1974 - June 22, 1974
EDWARDS & HANLY
July 2, 1973 - April 30, 1974
DUPONT WALSTON, INCORPORATED
April 8, 1970 - July 2, 1973
DUPONT GLORE FORGAN INC
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
PC
Date: 3/4/1988
AMEX Put and Call ExamSeries 1
Date: 11/23/1968
Registered Representative ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
