Douglas J. 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.
Douglas John Jones was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. Douglas had worked at 16 firms and has passed the Series 63, Series 7, Series 22, Series 27 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
June 4, 2012 - July 12, 2012
ALLIANCE AFFILIATED EQUITIES CORPORATION
March 19, 2010 - July 31, 2012
WESTMORELAND CAPITAL CORPORATION
February 17, 2009 - April 2, 2009
RICHFIELD ORION INTERNATIONAL, INC.
September 30, 2008 - December 31, 2008
WFG INVESTMENTS, INC.
April 1, 2005 - September 29, 2006
INVESTORS CAPITAL CORP.
September 29, 1999 - June 2, 2003
KELMOORE INVESTMENT COMPANY, INC.
June 14, 1999 - August 19, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 20, 1998 - April 19, 1999
J.D. NICHOLAS & ASSOCIATES, INC.
May 8, 1997 - August 18, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
May 2, 1995 - March 18, 1996
VSR FINANCIAL SERVICES, INC.
May 20, 1993 - October 26, 1993
FIRST LAUDERDALE SECURITIES, INC.
December 24, 1991 - November 27, 1992
DETWILER FENTON WEALTH MANAGEMENT INC
March 9, 1990 - November 25, 1991
LEHMAN BROTHERS INC.
April 27, 1989 - August 26, 1989
EQUITYLINE SECURITIES, INC.
February 9, 1988 - April 19, 1989
GREEN HILL FINANCIAL SERVICE CORPORATION
March 18, 1985 - September 1, 1987
THE KEYES INVESTMENT GROUP, 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
ALLIANCE AFFILIATED EQUITIES CORPORATION
CRD#: 23928 / SEC#: , 8-40844
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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