Louise 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.
Louise Jones, who also goes by Louise J Jones, Louise Judith Jones, was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1985. Louise had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 27 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2023 - March 18, 2024
TIGRESS FINANCIAL PARTNERS, LLC
October 1, 2018 - January 16, 2020
CRAFT CAPITAL MANAGEMENT LLC
July 13, 2018 - September 20, 2018
ROBERTS & RYAN, INC.
January 19, 2017 - January 31, 2018
DRIVEWEALTH INSTITUTIONAL LLC
January 5, 2015 - July 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2014 - July 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 2011 - May 27, 2014
NATIVEONE INSTITUTIONAL TRADING, LLC.
June 16, 2011 - November 2, 2011
DIVINE CAPITAL MARKETS LLC
July 12, 2006 - January 31, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
October 1, 2000 - January 30, 2001
SUNGARD GLOBAL EXECUTION SERVICES LLC
January 13, 2000 - March 2, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 5, 1999 - June 4, 1999
HAPOALIM SECURITIES USA, INC.
September 1, 1987 - June 9, 1989
BOETTCHER & COMPANY, INC.
May 20, 1986 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
December 17, 1985 - December 18, 1985
CHARLES SCHWAB & CO., 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 7TO
Date: 10/6/2023
General Securities Representative ExaminationSeries 12
Date: 10/1/2000
NYSE Branch Manager ExaminationCurrent Firm
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
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.
