Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Chase is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Jonathan has been in the financial services industry since March 21, 1984 and is currently registered in Connecticut, New York, Texas and Vermont. Jonathan also has a Series 65 license for Investment Advisor Representatives, and holds a Series 3, 7, 8, 9, 10, 15, and SIE license. Jonathan has over 39 years of experience in the financial services industry. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Jonathan was registered with WACHOVIA SECURITIES, LLC, PRUDENTIAL SECURITIES INCORPORATED and LEHMAN BROTHERS INC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
01/23/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RIDGEFIELD CT)
MO
07/01/2003 - 11/16/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/30/1993 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/22/1984 - 07/27/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/04/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/1995
Series 5 - Interest Rate Options Examination
BC
Issued 04/04/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 01/06/1992
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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