Jonathan P. Rotolo
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 Peter Rotolo was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2004. Jonathan had worked at 2 firms and has passed the Series 63, Series 79TO, Series 82TO, 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
September 14, 2021 - January 27, 2023
NORFOLK MARKETS, LLC
August 12, 2019 - June 3, 2020
BARINGS SECURITIES LLC
January 10, 2006 - March 25, 2013
NORFOLK MARKETS, LLC
October 13, 2004 - June 21, 2019
NORFOLK MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
NORFOLK MARKETS, LLC
CRD#: 103797 / SEC#: , 8-52306
Contact information
FINRA licenses (1 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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