Jon Harold Roberts Jr.
Professional Summary
Jon Harold Roberts JR. is a registered financial advisor currently at CARL MARKS SECURITIES LLC located in Bedminster , New Jersey. Jon is registered as a RR (Registered Representative) and started their career in finance in 2007. Jon has worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
CARL MARKS SECURITIES LLC | CARL MARKS SECURITIES, LLC
Contact Information
Main Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022Mailing Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022Phone Number
(212) 909-8400Established
New York since 05/25/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(10/16/2020)
(3/13/2020)
(6/3/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jon Harold Roberts JR.'s CRS (Customer Relationship Summary).
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