JJ
Jonathan K. Jefferies
JONESTRADING
Thousand Oaks, CA 91360
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CRD#: 5248775
JJ
Professional summary
Jonathan Kent Jefferies is a registered financial professional currently at JONESTRADING located in Thousand Oaks, California.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2007. Jonathan has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 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 Jonathan Kent Jefferies'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
October 26, 2020 - Present
JONESTRADING
Office #1: 555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360BD
CRD#: 6888
Thousand Oaks, CA
Past
September 19, 2016 - September 1, 2020
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
October 8, 2012 - September 15, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
August 23, 2010 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
July 10, 2007 - August 6, 2010
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
ARLINGTON, VA
Past
March 19, 2007 - June 8, 2007
VALMARK SECURITIES, INC.
BD
CRD#: 31243
MCLEAN, VA
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
California(10/26/2020)
RR
Colorado(3/13/2024)
RR
Connecticut(10/26/2020)
RR
District of Columbia(10/26/2020)
RR
Florida(10/26/2020)
RR
Illinois(10/26/2020)
RR
Maryland(10/26/2020)
RR
Massachusetts(10/26/2020)
RR
New Jersey(10/26/2020)
RR
New York(10/26/2020)
RR
North Carolina(10/26/2020)
RR
South Carolina(10/26/2020)
RR
Texas(10/26/2020)
RR
Virginia(10/26/2020)
RR
Wisconsin(10/26/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/12/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
JONESTRADING
CRD#: 6888Thousand Oaks, CA 91360TRUST BUT VERIFY
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