RL
Ryan J. Loforte
JONESTRADING
Sarasota, FL 34236
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CRD#: 5153042
RL
Professional summary
Ryan John Loforte is a registered financial professional currently at JONESTRADING located in Sarasota, Florida.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 2007. Ryan has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7 and Series 4 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 Ryan John Loforte'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
February 14, 2020 - Present
JONESTRADING
Office #1: 240 South Pineapple Ave. Suite 701, Sarasota, FL 34236BD
CRD#: 6888
Sarasota, FL
Past
December 7, 2015 - February 18, 2020
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
NEW YORK, NY
Past
October 25, 2010 - December 3, 2019
MLV & CO. LLC
BD
CRD#: 150959
New York, NY
Past
August 3, 2007 - October 8, 2010
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
JERSEY CITY, NJ
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(2/14/2020)
RR
Alaska(2/14/2020)
RR
Arizona(2/14/2020)
RR
Arkansas(2/14/2020)
RR
California(2/14/2020)
RR
Colorado(2/14/2020)
RR
Connecticut(2/14/2020)
RR
Delaware(2/14/2020)
RR
District of Columbia(2/14/2020)
RR
Florida(2/14/2020)
RR
Georgia(2/14/2020)
RR
Hawaii(2/14/2020)
RR
Idaho(2/14/2020)
RR
Illinois(2/14/2020)
RR
Indiana(2/14/2020)
RR
Iowa(2/14/2020)
RR
Kansas(2/14/2020)
RR
Kentucky(2/14/2020)
RR
Louisiana(2/14/2020)
RR
Maine(2/14/2020)
RR
Maryland(2/14/2020)
RR
Massachusetts(2/14/2020)
RR
Michigan(2/14/2020)
RR
Minnesota(2/14/2020)
RR
Mississippi(2/14/2020)
RR
Missouri(2/14/2020)
RR
Montana(2/14/2020)
RR
Nebraska(2/14/2020)
RR
Nevada(2/14/2020)
RR
New Hampshire(2/14/2020)
RR
New Jersey(2/14/2020)
RR
New Mexico(2/14/2020)
RR
New York(2/14/2020)
RR
North Carolina(2/14/2020)
RR
North Dakota(2/14/2020)
RR
Ohio(2/14/2020)
RR
Oklahoma(2/14/2020)
RR
Oregon(2/14/2020)
RR
Pennsylvania(2/14/2020)
RR
Rhode Island(2/14/2020)
RR
South Carolina(2/14/2020)
RR
South Dakota(2/14/2020)
RR
Tennessee(2/14/2020)
RR
Texas(2/14/2020)
RR
Utah(2/14/2020)
RR
Vermont(2/14/2020)
RR
Virginia(2/14/2020)
RR
West Virginia(2/14/2020)
RR
Wisconsin(2/14/2020)
RR
Wyoming(2/14/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 7/10/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/21/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
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.
