Jonathan L. Auerbach
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 Lewis Auerbach was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1970. Jonathan had worked at 8 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2005 - March 3, 2009
AXES, LLC
February 5, 1993 - January 2, 2013
AUERBACH GRAYSON & COMPANY LLC
June 30, 1988 - July 7, 1992
CRESVALE INTERNATIONAL, INC.
February 17, 1981 - August 14, 1984
SBC WARBURG DILLON READ INC.
September 20, 1973 - March 13, 1981
DEUTSCHE BANK CAPITAL CORPORATION
August 7, 1973 - September 30, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 6, 1971 - August 27, 1973
F S SMITHERS & CO INC
March 18, 1970 - May 19, 1971
BACHE & CO INCORPORATED
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
Series 1
Date: 3/13/1970
Registered Representative ExaminationSeries 40
Date: 11/9/1972
Registered Principal ExaminationCurrent Firm
AXES, LLC
CRD#: 134036 / SEC#: , 8-66806
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXES HOLDINGS, LLC | SHAREHOLDER | |
| AUERBACH GRAYSON & COMPANY INCORPORATED | SHAREHOLDER | 30761 |
| PERRIGRINE EQUITY LLC | SHAREHOLDER | |
| PIK, ROBERT ROGER | EXECUTIVE V. PRESIDENT & CHIEF MARKETING OFFICER | 1535413 |
| ALLEGRA LEITNER TRUST | SHAREHOLDER | |
| AUERBACH, JONATHAN LEWIS | DIRECTOR-SHAREHOLDER | 8705 |
| EVAN LEITNER TRUST | SHAREHOLDER | |
| FRANK, STEPHEN HAMILTON | SHAREHOLDER | |
| GAFFNEY, PETER FITZGERALD | PRESIDENT, CHIEF COMPLIANCE OFFICER | 1175665 |
| GAVIRIA, SHARON ALEXANDRA | FINOP | 4348648 |
| GRAYSON, DAVID STUART | DIRECTOR, CEO - SHAREHOLDER | 838165 |
| KETTERER, JOHN GEORGE III | SHAREHOLDER | |
| OLIVIA LEITNER TRUST | SHAREHOLDER | |
| PESSIN, NORMAN HERBERT | SHAREHOLDER |
Red Flags
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