Jon H. Rubin
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.
Jon Harris Rubin MR, who also goes by Jonathan Harris Rubin, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 2003. Jon had worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2020 - July 8, 2021
DASH FINANCIAL TECHNOLOGIES LLC
June 22, 2010 - July 26, 2018
FIS BROKERAGE & SECURITIES SERVICES LLC
March 22, 2010 - June 16, 2010
FUNDING CIRCLE SECURITIES LLC
August 21, 2006 - February 20, 2007
CFL TRADING, LLC
May 4, 2005 - August 21, 2006
HEADLESS HORSEMAN TRADING, LLC
September 26, 2003 - May 2, 2005
HEADWATERS CAPITAL, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/27/2023
General Securities Representative ExaminationSeries 79TO
Date: 11/27/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 11/27/2023
Operations Professional ExaminationSeries 57TO
Date: 11/27/2023
Securities Trader ExamCurrent Firm
DASH FINANCIAL TECHNOLOGIES LLC
CRD#: 104031 / SEC#: , 8-52503
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 68 |
Red Flags
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