Jonathan S. Pataki
Professional summary
Jonathan Smith Pataki is a registered financial advisor currently at FIRST SOUTHERN, LLC located in Alpharetta, Georgia.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2000. Jonathan has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Smith Pataki's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2020 - Present
FIRST SOUTHERN, LLC
Office #1: 1720 Windward Concourse, Suite 115, Alpharetta, GA 30005October 13, 2017 - October 5, 2020
FIRST SOUTHERN SECURITIES, LLC.
October 16, 2015 - August 15, 2017
RAFFERTY CAPITAL MARKETS, LLC
June 5, 2014 - July 1, 2015
CASTLEOAK SECURITIES, LP
February 16, 2011 - April 2, 2014
LEBENTHAL & CO., LLC
April 14, 2010 - February 16, 2011
M. R. BEAL & COMPANY
September 18, 2009 - April 12, 2010
TEJAS SECURITIES GROUP, INC.
September 17, 2009 - April 12, 2010
TEJAS SECURITIES GROUP, INC.
June 1, 2009 - August 28, 2009
MORGAN STANLEY
June 1, 2009 - August 28, 2009
MORGAN STANLEY
October 3, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 5, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 16, 2006 - December 12, 2007
UBS SECURITIES LLC
April 7, 2000 - January 16, 2006
UBS FINANCIAL SERVICES 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
(1/22/2020)
(2/4/2020)
(2/27/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
FIRST SOUTHERN, LLC
CRD#: 282756 / SEC#: , 8-69733
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENT, INC. | SHAREHOLDER | |
| HEEHAW INC. | SHAREHOLDER | |
| VSPR, INC. | SHAREHOLDER | |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HAWK, WILLIAM HEATH | PRESIDENT/CEO/MANAGING MEMBER | 2494928 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
| JONES, SHARON DOSTER | CHIEF COMPLIANCE OFFICER | 3124470 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING MEMBER/POO | 4026992 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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