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Jonathan Smith Pataki

First Southern, LLC

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About Jonathan Smith Pataki

Jonathan Pataki is a financial advisor with over 20 years of experience in the industry. Jonathan currently works with First Southern, LLC in Alpharetta, GA. Jonathan has experience with a variety of financial products and services, including securities, futures, and municipal securities. Jonathan has passed the Series 7, Series 31, Series 52TO, and Series 63 exams. Jonathan is registered in Connecticut, Georgia, and New Hampshire.

Firm Information

Jonathan Pataki is currently registered with First Southern, LLC. First Southern, LLC is a Limited Liability Company formed on February 24, 2016, and is registered in 35 states and approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

23

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Jonathan Pataki’s Registration & Firm History

GA

01/10/2020 - Present

First Southern, LLC (Alpharetta GA)

GA

10/13/2017 - 10/05/2020

FIRST SOUTHERN SECURITIES, LLC. (ALPHARETTA GA)

CT

10/16/2015 - 08/15/2017

RAFFERTY CAPITAL MARKETS, LLC (ROWAYTON CT)

NY

06/05/2014 - 07/01/2015

CASTLEOAK SECURITIES, LP (NEW YORK NY)

NY

02/16/2011 - 04/02/2014

LEBENTHAL & CO., LLC (NEW YORK NY)

NY

04/14/2010 - 02/16/2011

M. R. BEAL & COMPANY (NEW YORK NY)

NY

09/17/2009 - 04/12/2010

TEJAS SECURITIES GROUP, INC. (NEW YORK NY)

NH

06/01/2009 - 08/28/2009

MORGAN STANLEY SMITH BARNEY (PORTSMOUTH NH)

NH

09/05/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (PORTSMOUTH NH)

NY

01/16/2006 - 12/12/2007

UBS SECURITIES LLC (NEW YORK NY)

NJ

04/07/2000 - 01/16/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

IA

Issued 10/02/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/2008

Series 31 - Futures Managed Funds Examination

BC

Issued 03/22/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jonathan Smith Pataki. Review regulatory record here.
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