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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Ching Gaw is a financial advisor with RBC Capital Markets, LLC, a leading financial services company. With over 17 years of experience in the industry, Jonathan has a deep understanding of the financial markets and a proven track record of helping clients achieve their financial goals. Jonathan is committed to providing personalized financial advice and guidance to help clients make informed investment decisions. He is a dedicated professional who is committed to providing exceptional customer service. Jonathan is registered with the Financial Industry Regulatory Authority (FINRA) and holds several industry licenses and certifications, including the Series 7, Series 63, and Series 24 licenses, and the Series 39, Series 26, and Series 14 licenses. Jonathan has worked at various financial institutions including UBS Securities LLC and RBC Capital Markets Corporation. He is a member of several industry organizations, including FINRA and the Securities Industry and Financial Markets Association (SIFMA).
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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NY
02/29/2008 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
09/13/2007 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
11/01/2005 - 08/02/2007
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 11/14/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/29/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
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NYSE American LLC
N
NYSE Arca, Inc.
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NYSE Chicago, Inc.
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NYSE National, Inc.
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Nasdaq BX, Inc.
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Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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