Jonathan J. Lin
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 J Lin, who also goes by Jon Lin, Jonathan Lin, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2005. Jonathan had worked at 4 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2011 - June 20, 2012
LAZARD MIDDLE MARKET LLC
February 19, 2010 - July 6, 2011
SANDLER, O'NEILL & PARTNERS, L.P.
October 22, 2007 - February 8, 2010
KEEFE, BRUYETTE & WOODS, INC.
August 31, 2005 - August 14, 2006
CITIGROUP GLOBAL MARKETS 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
Current Firm
LAZARD MIDDLE MARKET LLC
CRD#: 146092 / SEC#: , 8-67786
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
