Jonathan J. Bischmann
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.
Jonathan James Bischmann, who also goes by Jon Bischmann, Jonathan J Bischmann, Jonathan James Bischmann, Jonathan Bischmann, Jonathan James Bischmmann, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2000. Jonathan had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 55, Series 7, Series 24, Series 27, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - April 18, 2022
SAFRA SECURITIES LLC
June 22, 2021 - December 8, 2021
EVERCORE GROUP L.L.C.
September 11, 2018 - January 10, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 11, 2018 - January 10, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 2016 - September 11, 2018
INVESTMENT PROFESSIONALS, INC.
May 16, 2016 - September 11, 2018
INVESTMENT PROFESSIONALS, INC.
July 8, 2014 - November 6, 2015
TIGRESS FINANCIAL PARTNERS, LLC
September 9, 2013 - May 9, 2014
COMMONWEALTH FINANCIAL NETWORK
July 8, 2013 - May 9, 2014
COMMONWEALTH FINANCIAL NETWORK
September 20, 2011 - January 25, 2013
WTS PROPRIETARY TRADING GROUP LLC
April 2, 2008 - April 6, 2011
INDEPENDENT FINANCIAL GROUP, LLC
January 3, 2006 - August 1, 2006
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
March 1, 2005 - July 25, 2005
LPL FINANCIAL LLC
September 12, 2003 - August 4, 2004
TD AMERITRADE, INC.
June 3, 2002 - March 7, 2003
WORLDCO, L.L.C.
June 14, 2000 - June 29, 2000
CHARLES SCHWAB & CO., 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
Series 55
Date: 8/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
