Jonathan M. Le
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 Mai Le was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2015. Jonathan had worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2022 - March 14, 2023
CITIZENS CAPITAL MARKETS
September 28, 2015 - May 17, 2016
WELLS FARGO SECURITIES, 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 79TO
Date: 10/29/2022
Investment Banking Registered Representative ExaminationCurrent Firm
CITIZENS CAPITAL MARKETS
CRD#: 277073 / SEC#: , 8-69651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIZENS FINANCIAL GROUP, INC. | SHAREHOLDER | |
| HORN, WILLIAM CANNIFF III | POO | 2234778 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| KOSINSKI, THOMAS JAMES | FINOP, PFO | 6712417 |
| MCCREE, DONALD H III | CHAIRMAN | 2316064 |
| MCLAUGHLIN, BRENDAN M. | CHIEF COMPLIANCE OFFICER | 2562815 |
| SWIMMER, THEODORE C | CHIEF EXECUTIVE OFFICER | 2661662 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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