Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Johnathan? Claim Your ProfileJohnathan King has been in the financial services industry since June 3, 2011. Johnathan is currently registered with Smbc Nikko Securities America, Inc. in New York, NY and is licensed in 51 states. Prior to joining Smbc Nikko Securities America, Inc., Johnathan was employed by RBC CAPITAL MARKETS, LLC. Johnathan holds the Series 3, 7, 24, 55, 57TO, 63, 99TO, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
09/06/2023 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
05/23/2011 - 08/24/2023
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
BC
Issued 06/06/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/06/2014
Series 24 - General Securities Principal Examination
BC
Issued 02/09/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2011
Series 3 - National Commodity Futures Examination
BC
Issued 06/27/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/20/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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