Jonathan R. Kotecki
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 Robert Kotecki, CFP®, who also goes by Jonathan R Kotecki, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2005. Jonathan had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
January 28, 2022 - December 16, 2024
FROST INVESTMENT SERVICES
December 3, 2018 - December 16, 2024
FROST BROKERAGE SERVICES, INC.
November 16, 2018 - December 31, 2021
FROST INVESTMENT SERVICES
March 13, 2012 - November 16, 2018
CITIGROUP GLOBAL MARKETS INC.
March 13, 2012 - November 16, 2018
CITIGROUP GLOBAL MARKETS INC.
November 15, 2007 - March 19, 2012
USAA FINANCIAL PLANNING SERVICES
November 15, 2007 - March 19, 2012
USAA FINANCIAL ADVISORS, INC.
February 27, 2007 - October 31, 2007
ECHOTRADE LLC
September 13, 2006 - February 9, 2007
VOYA FINANCIAL ADVISORS, INC.
July 27, 2006 - February 9, 2007
VOYA FINANCIAL ADVISORS, INC.
May 17, 2005 - July 25, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 2, 2005 - July 25, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
