Jonathan Fraiman
Professional summary
Jonathan Fraiman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jonathan is a previously registered financial advisor and started their career in finance in 2007. Prior to being barred, Jonathan had worked at 8 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FORGE FINANCIAL GROUP INC., BUCKMAN ADVISORY GROUP LLC, BUCKMAN BUCKMAN & REID INC., PEAK SECURITIES CORPORATION, ADVANCED ASSET TRADING INC, ENVIT CAPITAL PRIVATE WEALTH MANAGEMENT LLC, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2011 - August 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 2011 - August 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 2010 - December 11, 2010
FORGE FINANCIAL GROUP, INC.
August 13, 2010 - October 5, 2010
BUCKMAN ADVISORY GROUP LLC
April 9, 2010 - October 5, 2010
BUCKMAN, BUCKMAN & REID, INC.
July 16, 2009 - August 4, 2009
PEAK SECURITIES CORPORATION
April 13, 2009 - April 30, 2009
ADVANCED ASSET TRADING, INC
July 14, 2008 - July 1, 2009
ENVIT CAPITAL PRIVATE WEALTH MANAGEMENT, LLC
April 10, 2007 - February 14, 2008
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
