Gordon E. 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.
Gordon Elliott Jones, who also goes by Gordy Jones, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1982. Gordon had worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2010 - May 11, 2021
DAY HAGAN ASSET MANAGEMENT
March 7, 2005 - April 7, 2010
JONES ADVISORY GROUP LLC
September 16, 1994 - January 10, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 16, 1994 - January 10, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 21, 1982 - September 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
DAY HAGAN ASSET MANAGEMENT
CRD#: 139671 / SEC#: 801-66337
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 5
Date: 12/15/1982
Interest Rate Options ExaminationCurrent Firm
DAY HAGAN ASSET MANAGEMENT
CRD#: 139671 / SEC#: 801-66337
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 587 |
| AUM (Assets Under Management) | $ 842,839,288 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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