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JT

Jonathan Tong

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CRD#: 6834669
JT

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 Tong was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2018. Jonathan had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 14, 2020 - June 14, 2022

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
San Francisco, CA
Past

June 8, 2018 - October 2, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
Los Angeles, CA
Past

January 16, 2018 - October 2, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Los Angeles, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/8/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2018
General Securities Representative Examination

Current Firm

IS
ICAPITAL SECURITIES, LLC
ICAPITAL SECURITIES, LLC

CRD#: 171061 / SEC#: , 8-69443

BD
Terminated by SEC on 01/29/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/23/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INSTITUTIONAL CAPITAL NETWORK, INC.SOLE MEMBER
BLALOCK, EILEEN DUFFHEAD OF ICAPITAL SECURITIES, LLC2752454
GEORGE, THOMAS KEITHFINOP5378303
THOME, CHRISTOPHER WESLEYCHIEF COMPLIANCE OFFICER5488980

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

ICAPITAL SECURITIES, LLC

CRD#: 171061

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