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JK

Jonathan Kees

DAIWA CAPITAL MARKETS AMERICA
New York, NY 10020
Some features on this profile are disabled
CRD#: 4573331
JK

Professional summary

Jonathan Kees, who also goes by Jonathan Allan Kees, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2002. Jonathan has worked at 6 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan Allan Kees

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) - BD

Click below to view Jonathan Kees's CRS (Customer Relationship Summary).

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

Current

August 16, 2021 - Present

DAIWA CAPITAL MARKETS AMERICA INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 1576
New York, NY
Past

January 8, 2015 - June 1, 2016

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

September 21, 2009 - January 9, 2013

CAPSTONE INVESTMENTS

BD
CRD#: 41400
SAN DIEGO, CA
Past

November 12, 2008 - February 20, 2009

GLOBAL CROWN CAPITAL, LLC

BD
CRD#: 16761
SAN FRANCISCO, CA
Past

September 20, 2005 - June 16, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 19, 2002 - May 6, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/19/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 5/3/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/3/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 12/18/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DC
DAIWA CAPITAL MARKETS AMERICA INC.
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.

CRD#: 1576 / SEC#: , 8-12242

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

Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Phone number
(212) 612-7000
Established
New York since 12/08/1964
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC.SHAREHOLDER
GREFE, JOHN HERBERT IIIEXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER3275699
MACHIDA, KEIJIPRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR)7273228
PARRY, GEORGE LCFO / TREASURER3221390
SAMBONGI, TOHRUMANAGING DIRECTOR / CO-HEAD OF FIXED INCOME7302894
UEJIMA, EIJIMANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION8039040
YAMAUCHI, MASAHIRODEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS7920876

Disclosures

Regulatory Event30

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

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576New York, NY 10020

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