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JS

Jonathan R. Surridge

Some features on this profile are disabled
CRD#: 4423463
JS

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 Robert Surridge was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2001. Jonathan had worked at 7 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 27 and Series 4 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 2018 - March 15, 2022

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

February 3, 2017 - July 31, 2017

REALTYSHARES SECURITIES, LLC

BD
CRD#: 283560
San Fransico, CA
Past

June 8, 2011 - September 30, 2015

MOTIF

BD
CRD#: 155731
SAN MATEO, CA
Past

July 1, 2009 - August 24, 2010

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
SAN FRANCISCO, CA
Past

November 30, 2006 - July 1, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

June 13, 2006 - September 12, 2006

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

September 25, 2001 - February 8, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 7/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/3/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/12/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/25/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/4/2012
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/10/2011
Registered Options Principal Examination

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

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

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

Disclosures

Regulatory 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

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

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