JS
Jonathan S. Schwartz
VAN ECK SECURITIES
New York, NY 10017-4033
Some features on this profile are disabled
CRD#: 4663488
JS
Professional summary
Jonathan Samuel Schwartz is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2007. Jonathan has worked at 6 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Samuel Schwartz'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®
NoneExperience
Current
December 14, 2021 - Present
VAN ECK SECURITIES CORPORATION
Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033BD
CRD#: 2269
New York, NY
Past
September 22, 2015 - November 20, 2021
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
New York, NY
Past
July 25, 2014 - October 10, 2014
G-TRADE SERVICES LLC
BD
CRD#: 140314
NEW YORK, NY
Past
April 30, 2013 - September 11, 2015
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
March 31, 2011 - April 30, 2013
CITY NATIONAL ROCHDALE
RIA
CRD#: 117198
NEW YORK, NY
Past
March 31, 2011 - April 30, 2013
CNR SECURITIES, LLC
BD
CRD#: 18466
NEW YORK, NY
Past
July 10, 2007 - May 14, 2010
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
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
Alabama(12/23/2022)
RR
Alaska(12/23/2022)
RR
Arizona(12/23/2022)
RR
Arkansas(12/23/2022)
RR
California(12/23/2022)
RR
Colorado(12/23/2022)
RR
Connecticut(12/23/2022)
RR
Delaware(12/23/2022)
RR
Florida(12/23/2022)
RR
Georgia(12/23/2022)
RR
Hawaii(12/23/2022)
RR
Idaho(12/23/2022)
RR
Illinois(12/23/2022)
RR
Indiana(12/23/2022)
RR
Iowa(12/23/2022)
RR
Kansas(12/23/2022)
RR
Kentucky(12/23/2022)
RR
Louisiana(12/23/2022)
RR
Maine(12/23/2022)
RR
Maryland(12/23/2022)
RR
Massachusetts(12/23/2022)
RR
Michigan(12/23/2022)
RR
Minnesota(12/23/2022)
RR
Mississippi(12/23/2022)
RR
Missouri(12/23/2022)
RR
Montana(12/23/2022)
RR
Nebraska(12/23/2022)
RR
Nevada(12/23/2022)
RR
New Hampshire(12/23/2022)
RR
New Jersey(12/23/2022)
RR
New Mexico(12/23/2022)
RR
New York(12/14/2021)
RR
North Carolina(12/23/2022)
RR
North Dakota(12/23/2022)
RR
Ohio(1/3/2023)
RR
Oklahoma(12/23/2022)
RR
Oregon(12/23/2022)
RR
Pennsylvania(12/23/2022)
RR
Puerto Rico(12/23/2022)
RR
Rhode Island(12/23/2022)
RR
South Carolina(12/23/2022)
RR
South Dakota(12/23/2022)
RR
Texas(12/23/2022)
RR
Utah(12/23/2022)
RR
Vermont(12/23/2022)
RR
Virginia(12/23/2022)
RR
Washington(12/23/2022)
RR
West Virginia(12/23/2022)
RR
Wisconsin(12/23/2022)
RR
Wyoming(12/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/30/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VE
VAN ECK SECURITIES CORPORATION
I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Mailing Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Phone number
(212) 293-2000
Established
Delaware since 08/01/1955
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
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.
