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LJ

Lisa M. Jones

Some features on this profile are disabled
CRD#: 1324612
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.

Lisa M. Jones, who also goes by Lisa M Jones, Lisa Marinello Jones, Lisa Jones, Lisa Joya Marinello, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1985. Lisa had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 39 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa M Jones | Lisa Marinello Jones | Lisa Jones | Lisa Joya Marinello

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

August 11, 2014 - April 16, 2025

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

July 6, 2010 - May 26, 2011

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

July 6, 2010 - October 5, 2011

MORGAN STANLEY DISTRIBUTORS INC.

BD
CRD#: 30992
NEW YORK, NY
Past

July 6, 2010 - October 14, 2013

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

June 30, 2005 - May 21, 2010

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

January 22, 2004 - September 7, 2004

MFS INSTITUTIONAL ADVISORS INC.

RIA
CRD#: 107144
BOSTON, MA
Past

March 13, 1994 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
Past

December 16, 1993 - September 7, 2004

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

May 24, 1988 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

May 14, 1988 - May 21, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 22, 1985 - May 14, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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: 12/9/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/15/2004
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/28/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AD
AMUNDI DISTRIBUTOR US, INC.
AMUNDI DISTRIBUTOR US, INC. | PIONEER FUNDS DISTRIBUTOR, INC. | PIONEER DISTRIBUTORS, INC. | AMUNDI PIONEER DISTRIBUTOR, INC.

CRD#: 24497 / SEC#: , 8-41256

BD
Terminated by SEC on 08/29/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/02/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMUNDI US, INC.OWNER
LICATA, DANIELECHIEF FINANCIAL OFFICER7010418
MATHES, CHARLES BPRESIDENT, CHIEF COMPLIANCE OFFICER5980160

Disclosures

Regulatory Event1

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

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

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