JG
Jonathan Gaines
INSPEREX LLC
Delray Beach, FL 33483
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CRD#: 6820611
JG
Professional summary
Jonathan Gaines, who also goes by Jonathan Lee Gaines, Jonathan Gaines, is a registered financial professional currently at INSPEREX LLC located in Delray Beach, Florida.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2019. Jonathan has worked at 2 firms and has passed the Series 63, Series 22TO, Series 99TO, Series 6TO, Series 82TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan Lee Gaines | Jonathan Gaines
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 Gaines'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
March 28, 2022 - Present
INSPEREX LLC
Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483BD
CRD#: 101420
Delray Beach, FL
Past
March 28, 2022 - March 29, 2022
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
June 15, 2019 - July 29, 2021
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
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
Alabama(7/29/2022)
RR
Alaska(7/29/2022)
RR
Arizona(7/29/2022)
RR
Arkansas(7/29/2022)
RR
California(7/29/2022)
RR
Colorado(7/29/2022)
RR
Connecticut(7/29/2022)
RR
Delaware(7/29/2022)
RR
District of Columbia(7/29/2022)
RR
Florida(7/29/2022)
RR
Georgia(7/29/2022)
RR
Hawaii(7/29/2022)
RR
Idaho(7/29/2022)
RR
Illinois(7/29/2022)
RR
Indiana(7/29/2022)
RR
Iowa(7/29/2022)
RR
Kansas(7/29/2022)
RR
Kentucky(7/29/2022)
RR
Louisiana(7/29/2022)
RR
Maine(7/29/2022)
RR
Maryland(7/29/2022)
RR
Massachusetts(7/29/2022)
RR
Michigan(7/29/2022)
RR
Minnesota(7/29/2022)
RR
Mississippi(7/29/2022)
RR
Missouri(7/29/2022)
RR
Montana(7/29/2022)
RR
Nebraska(7/29/2022)
RR
Nevada(7/29/2022)
RR
New Hampshire(7/29/2022)
RR
New Jersey(7/29/2022)
RR
New Mexico(7/29/2022)
RR
New York(7/29/2022)
RR
North Carolina(7/29/2022)
RR
North Dakota(7/29/2022)
RR
Ohio(7/29/2022)
RR
Oklahoma(7/29/2022)
RR
Oregon(7/29/2022)
RR
Pennsylvania(7/29/2022)
RR
Puerto Rico(7/29/2022)
RR
Rhode Island(7/29/2022)
RR
South Carolina(7/29/2022)
RR
South Dakota(7/29/2022)
RR
Tennessee(7/29/2022)
RR
Texas(7/29/2022)
RR
Utah(7/29/2022)
RR
Vermont(7/29/2022)
RR
Virgin Islands(7/29/2022)
RR
Virginia(7/29/2022)
RR
Washington(7/29/2022)
RR
West Virginia(7/29/2022)
RR
Wisconsin(7/29/2022)
RR
Wyoming(7/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/15/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IL
INSPEREX LLC
INCAPITAL | INTEGRATED INVESTMENTS, L.L.C. | INTEGRATED CAPITAL, LLC | INSPEREX LLC | INSPEREX | INCAPITAL, LLC | INCAPITAL LLC
CRD#: 101420 / SEC#: , 8-52081
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 379-3700
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
INSPEREX LLC
CRD#: 101420Delray Beach, FL 33483TRUST BUT VERIFY
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