Jonathan Rieth
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 Rieth, who also goes by Jonathan E Rieth, Jonathan Edward Rieth, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2007. Jonathan had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 99TO, Series 3, Series 7, Series 55 and Series 31 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2024 - June 16, 2026
MORGAN STANLEY & CO. LLC
April 22, 2015 - December 26, 2017
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 23, 2010 - April 15, 2010
J.P. TURNER & COMPANY, L.L.C.
February 18, 2010 - April 15, 2010
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
October 9, 2007 - March 4, 2008
MORGAN STANLEY & CO. LLC
September 6, 2007 - March 4, 2008
MORGAN STANLEY & CO. LLC
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
Series 99TO
Date: 10/7/2024
Operations Professional ExaminationSeries 55
Date: 2/16/2015
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
