Jonathan H. Collett
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 Harold Collett was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1980. Jonathan had worked at 15 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2011 - October 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2011 - October 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 2011 - January 19, 2011
EQUITABLE ADVISORS, LLC
September 8, 2010 - January 19, 2011
EQUITABLE ADVISORS, LLC
March 6, 2006 - December 19, 2008
ARDOUR CAPITAL INVESTMENTS, LLC
April 8, 2005 - September 20, 2005
HARVEST CAPITAL INVESTMENTS LLC
February 25, 2004 - March 2, 2006
EKN FINANCIAL SERVICES INC.
November 3, 2003 - February 24, 2004
GUNNALLEN FINANCIAL, INC
November 5, 2002 - May 16, 2003
PARK CAPITAL SECURITIES, LLC
September 10, 2002 - January 27, 2005
HARVEST CAPITAL INVESTMENTS LLC
March 10, 1998 - November 19, 2002
LAIDLAW GLOBAL SECURITIES, INC.
February 18, 1997 - March 25, 1998
WELLS FARGO CLEARING SERVICES, LLC
December 12, 1996 - February 11, 1997
CREDIT AGRICOLE SECURITIES (USA) INC.
April 22, 1991 - June 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1990 - October 19, 1990
CANTOR FITZGERALD & CO.
January 23, 1985 - October 25, 1989
MORGAN STANLEY DW INC.
September 13, 1983 - October 19, 1984
BECKER PARIBAS INCORPORATED
June 28, 1982 - August 19, 1983
SUTRO & CO. INCORPORATED
October 23, 1980 - July 16, 1982
MORGAN STANLEY DW INC.
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.
