Tyson Peter Ester
Professional Summary
Tyson Peter Ester is a registered financial advisor currently at CITIZENS JMP SECURITIES, LLC located in Lake Elmo, Minnesota. Tyson is registered as a RR (Registered Representative) and started their career in finance in 2002. Tyson has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | MATRIX CAPITAL MARKETS GROUP | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
Contact Information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111Phone Number
(415) 835-8900Established
Delaware since 01/01/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | — |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| MUTHYALA, RAJIV THEOPHILUS | CHIEF FINANCIAL OFFICER | 5404859 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| PITARRESI, JOHN CHARLES | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 2064758 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/10/2023)
(11/2/2011)
(11/2/2011)
(11/2/2011)
(11/2/2011)
(2/23/2012)
(11/3/2011)
(1/14/2023)
(11/2/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tyson Peter Ester's CRS (Customer Relationship Summary).
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