JN
Jonathan R. Neumann
SCOTIA CAPITAL (USA)
NEW YORK, NY 10281
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CRD#: 5097670
JN
Professional summary
Jonathan Randall Neumann, who also goes by Jonathan Randall Neumann, Jonathan Neumann, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2006. Jonathan has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan Randall Neumann | Jonathan Neumann
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 Randall Neumann'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
June 28, 2021 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281BD
CRD#: 2739
NEW YORK, NY
Past
July 3, 2018 - November 5, 2020
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
November 17, 2008 - May 16, 2018
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
October 24, 2006 - December 12, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 4, 2006 - October 27, 2006
J.P. MORGAN INVESTMENT MANAGEMENT INC.
RIA
CRD#: 107038
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(6/28/2021)
RR
Alaska(6/28/2021)
RR
Arizona(6/28/2021)
RR
Arkansas(6/28/2021)
RR
California(6/28/2021)
RR
Colorado(6/28/2021)
RR
Connecticut(6/28/2021)
RR
Delaware(6/28/2021)
RR
District of Columbia(6/28/2021)
RR
Florida(6/28/2021)
RR
Georgia(6/28/2021)
RR
Hawaii(6/28/2021)
RR
Idaho(6/28/2021)
RR
Illinois(6/28/2021)
RR
Indiana(6/28/2021)
RR
Iowa(6/28/2021)
RR
Kansas(6/28/2021)
RR
Kentucky(6/28/2021)
RR
Louisiana(6/28/2021)
RR
Maine(6/28/2021)
RR
Maryland(6/28/2021)
RR
Massachusetts(6/28/2021)
RR
Michigan(6/28/2021)
RR
Minnesota(6/28/2021)
RR
Mississippi(6/28/2021)
RR
Missouri(6/28/2021)
RR
Montana(6/28/2021)
RR
Nebraska(6/28/2021)
RR
Nevada(6/28/2021)
RR
New Hampshire(6/28/2021)
RR
New Jersey(6/28/2021)
RR
New Mexico(6/28/2021)
RR
New York(6/28/2021)
RR
North Carolina(6/28/2021)
RR
North Dakota(6/28/2021)
RR
Ohio(6/29/2021)
RR
Oklahoma(6/28/2021)
RR
Oregon(6/28/2021)
RR
Pennsylvania(6/28/2021)
RR
Puerto Rico(6/28/2021)
RR
Rhode Island(6/28/2021)
RR
South Carolina(6/28/2021)
RR
South Dakota(6/28/2021)
RR
Tennessee(6/28/2021)
RR
Texas(6/28/2021)
RR
Utah(6/28/2021)
RR
Vermont(6/28/2021)
RR
Virginia(6/28/2021)
RR
Washington(6/28/2021)
RR
West Virginia(6/28/2021)
RR
Wisconsin(6/28/2021)
RR
Wyoming(6/28/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
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 ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED
CRD#: 2739 / SEC#: , 8-3716
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
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.
