Stephanie R. Jones
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephanie Randall Jones was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1982. Stephanie had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2007 - June 2, 2008
FFP SECURITIES, INC.
October 25, 2005 - November 3, 2011
ADVANCED EQUITIES, INC.
August 6, 2004 - August 5, 2015
FIRST ALLIED SECURITIES, INC.
August 22, 1990 - December 31, 2002
CHARLES SCHWAB & CO., INC.
March 31, 1987 - August 7, 1990
SUTRO & CO. INCORPORATED
October 15, 1986 - March 5, 1987
PRINTON, KANE GOVERNMENT SECURITIES, INC.
October 20, 1982 - November 4, 1982
MUNICICORP OF CALIFORNIA
October 20, 1982 - May 1, 1986
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/5/2005
Limited Representative-Equity Trader ExamCurrent Firm
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
