Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Rook is a financial advisor with over 18 years of experience in the industry. Jonathan is currently registered with Piper Sandler & Co. in Greenwich, CT. Previously, Jonathan has held positions at Sandler, O'Neill & Partners, L.P. in New York, NY, Bear, Stearns & Co. Inc. in New York, NY and Assent LLC in Bolingbrook, IL. Jonathan is a Series 7, 24, 55, 57TO and 63 licensed financial advisor and holds the SIE designation. Jonathan is registered to offer securities and investment advisory services in 30 states.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
01/03/2020 - Present
Piper Sandler & Co. (Greenwich CT)
NY
04/25/2006 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
NY
06/27/2005 - 04/03/2006
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IL
11/13/2003 - 10/25/2004
ASSENT LLC (BOLINGBROOK IL)
BC
Issued 08/10/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/03/2003
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
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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