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LJ

Lynelle S. Jones

Some features on this profile are disabled
CRD#: 1029557
LJ

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.

Lynelle Susan Jones, who also goes by Lynnelle Susan Jones, was a registered financial professional .

Lynelle is a previously registered financial professional and started their career in finance in 1982. Lynelle had worked at 9 firms and has passed the Series 63, Series 7, Series 3 and Series 5 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lynnelle Susan Jones

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 19, 2012 - May 21, 2013

DIRECT ACCESS PARTNERS LLC

BD
CRD#: 120950
NEW YORK, NY
Past

October 27, 2006 - February 11, 2011

PENSION FUND EVALUATIONS, INC.

BD
CRD#: 10985
CENTEREACH, NY
Past

January 9, 2004 - December 2, 2004

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

January 3, 1997 - November 21, 2001

EFG CAPITAL INTERNATIONAL

BD
CRD#: 40118
MIAMI, FL
Past

January 3, 1992 - September 28, 1993

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
JERSEY CITY, NJ
Past

June 28, 1991 - November 22, 1991

CONNOR GREENFIELD SECURITIES CORPORATION

BD
CRD#: 22931
Past

June 15, 1988 - May 19, 1989

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

January 22, 1988 - June 15, 1988

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
Past

October 4, 1983 - October 5, 1983

GOLDMAN SACHS MONEY MARKETS INC.

BD
CRD#: 13821
Past

September 8, 1983 - January 21, 1988

GOLDMAN SACHS MONEY MARKETS INC.

BD
CRD#: 13821
Past

January 22, 1982 - December 8, 1983

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/2/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/18/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 8/24/1982
Interest Rate Options Examination

Current Firm

DA
DIRECT ACCESS PARTNERS LLC
DIRECT ACCESS GROUP LLC | DIRECT ACCESS PARTNERS LLC

CRD#: 120950 / SEC#: , 8-65361

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/18/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DIRECT ACCESS GROUP LLCSOLE MANAGING MEMBER
GETTENBERG, GARYCHIEF FINANCIAL OFFICER1973696
ROMAN, ELLIOTT MARCELCHIEF COMPLIANCE OFFICER2670426
ROMAN, ELLIOTT MARCELCOO2670426

Disclosures

Regulatory Event4

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.

Company Information

DIRECT ACCESS PARTNERS LLC

CRD#: 120950

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