Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Randall Neumann is a financial professional with over 14 years of experience in the industry. Jonathan is currently registered with Scotia Capital (usa) Inc. in New York. Previously, Jonathan held positions at BMO Capital Markets Corp., Guggenheim Securities, LLC, and Barclays Capital Inc. Jonathan holds FINRA Series 63, 65, 7, and SIE licenses. Jonathan is registered in all 50 states and the District of Columbia.
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.
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2
NY
06/28/2021 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
07/03/2018 - 11/05/2020
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
NY
11/17/2008 - 05/16/2018
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
10/24/2006 - 12/12/2008
BARCLAYS CAPITAL INC. (NEW YORK NY)
BC
Issued 11/02/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/03/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2006
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
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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