Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Stempel is an Investment Advisor Representative with RBC Capital Markets, LLC and has been in the industry since November 23, 2000. Jonathan is registered with the Securities and Exchange Commission and has a Series 7, Series 63, and Series 66 license. Jonathan previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., HERBERT J. SIMS & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., LADENBURG, THALMANN & CO., INC., JOSEPHTHAL & CO., INC., GREENTREE SECURITIES CORP., and THE STUART-JAMES COMPANY, INC. Jonathan has a proven track record of success in the financial services industry and is committed to providing his clients with the highest level of service.
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.
1
2
FL
09/03/2020 - Present
RBC Capital Markets, LLC (BOCA RATON FL)
FL
08/23/2010 - 09/08/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOCA RATON FL)
FL
06/01/2009 - 09/16/2010
MORGAN STANLEY SMITH BARNEY (BOCA RATON FL)
FL
04/29/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOCA RATON FL)
CT
02/12/2002 - 05/04/2005
HERBERT J. SIMS & CO. INC. (FAIRFIELD CT)
NY
01/02/2002 - 02/12/2002
LADENBURG CAPITAL MANAGEMENT INC. (BETHPAGE NY)
NY
12/05/2001 - 01/02/2002
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
11/15/1999 - 01/26/2000
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NA
09/06/1988 - 12/13/1988
GREENTREE SECURITIES CORP.
NA
05/20/1986 - 12/09/1986
THE STUART-JAMES COMPANY, INC.
BOTH
Issued 05/14/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
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.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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