Marilyn K. Newboles-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.
Marilyn Kay Newboles-jones, who also goes by Marilyn Kay Barnhart, Marilyn Kay Newboles, Marilyn Kay Newbolesjones, Marilyn Kay Stetler, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1997. Marilyn had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2011 - March 26, 2012
MORGAN KEEGAN & COMPANY, LLC
July 6, 2005 - December 14, 2010
CHASE INVESTMENT SERVICES CORP.
March 17, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 1, 2000 - May 7, 2001
W&S BROKERAGE SERVICES, INC.
February 4, 2000 - September 1, 2000
CINCINNATI ANALYSTS, INC.
June 11, 1997 - February 20, 1998
MUTUAL OF OMAHA INVESTOR 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
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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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