Jonathan Korzekwa
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 Korzekwa, who also goes by Jonathan D Korzekwa, Jonathan Dennis Korzekwa, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2010. Jonathan had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2019 - June 29, 2020
HARRISDIRECT LLC
November 6, 2019 - June 29, 2020
E*TRADE SECURITIES LLC
September 12, 2017 - November 15, 2019
J.P. MORGAN SECURITIES LLC
September 12, 2017 - November 15, 2019
J.P. MORGAN SECURITIES LLC
October 9, 2014 - May 25, 2017
CHARLES SCHWAB & CO., INC.
October 8, 2014 - May 25, 2017
CHARLES SCHWAB & CO., INC.
November 9, 2012 - September 19, 2014
STRATEGIC ADVISERS LLC
November 6, 2012 - September 18, 2014
FIDELITY BROKERAGE SERVICES LLC
February 10, 2012 - October 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2012 - October 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2010 - January 31, 2012
MORGAN KEEGAN & COMPANY, LLC
March 3, 2010 - January 31, 2012
MORGAN KEEGAN & COMPANY, 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
Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
