Paul D. Jones

SECURITIES MANAGEMENT & RESEARCH

Baton Rouge, LA 70816

Some features on this profile are disabled

CRD#: 1348232

Professional summary

Paul Douglas Jones, who also goes by Doug Jones, is a registered financial professional currently at SECURITIES MANAGEMENT & RESEARCH, INC. located in Baton Rouge, Louisiana.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1986. Paul has worked at 5 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Doug Jones

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) - BD

Click below to view Paul Douglas Jones's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 16, 1988 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

Office #1: 11863 Market Place Avenue, Baton Rouge, LA 70816

CRD#: 759

Baton Rouge, LA

Past

December 23, 1988 - January 19, 1989

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

September 21, 1987 - December 23, 1988

MORISON SECURITIES, INC.

CRD#: 8097

KANSAS CITY, MO

Past

May 19, 1986 - August 10, 1987

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

Past

February 19, 1986 - April 25, 1986

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Louisiana
(1/20/1989)

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/31/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SECURITIES MANAGEMENT & RESEARCH, INC.

SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.

CRD#: 759 / SEC#: 801-8002, 8-12745

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

Mailing Address

P.o. Box 11606, Cedar Rapids, IA 52410-1606

Phone number

(855) 767-5700

Established

Florida since 12/15/1964

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/22/2012)

Direct owners and executive officers

Name	Position	CRD#
ONE FINANCIAL, INC.	PARENT
BERTHEL, THOMAS JOSEPH	CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT	823289
CHAPMAN, KIMBERLY KAREN EARLY	CHIEF COMPLIANCE OFFICER	2527036
CHRISTOFFERSON, ANDREW JAMES	CHIEF EXECUTIVE OFFICER/PRESIDENT	3248381
DAVENPORT, SHELLEY RAE	VICE PRESIDENT LEGAL & REGULATORY MATTERS	2131376
HOHN, JAMES RALPH	VICE PRESIDENT/TECHNOLOGY	5413776
MEEHAN, DANIEL GERARD	VICE PRESIDENT RECRUITING	2264556
MURPHY, RICHARD MAURICE	EXECUTIVE VICE PRESIDENT	4893748
NOETHEN, BRITTANY MICHELLE	CHIEF TECHNOLOGY OFFICER	2610543
RUPP, BRIAN MICHAEL	CHIEF FINANCIAL OFFICER/TREASURER	6721718
SCHAUL, JOANNA MARIE	CHIEF ADMINISTRATIVE OFFICER/SECRETARY	4947759
WILCOX, RANDY AUSTIN	VICE PRESIDENT COMPLIANCE/OSJ MANAGER	4346998

Disclosures

Regulatory Event	4
Arbitration	1

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.

Similar Advisors

Frederick Sharbaugh

PARK AVENUE SECURITIES LLC

IAR

Baton Rouge, LA

Garrett Norton

LPL FINANCIAL LLC

IAR

Baton Rouge, LA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul D. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Douglas Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES MANAGEMENT & RESEARCH, INC.

B.C. CHRISTOPHER SECURITIES CO.

MORISON SECURITIES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 1/31/1986

FINRA

Current Firm

SECURITIES MANAGEMENT & RESEARCH, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SECURITIES MANAGEMENT & RESEARCH, INC.

TRUST BUT VERIFY

Similar Advisors