Robert G. 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.
Robert George Arthur Jones, who also goes by Bob Jones, Robert George Jones, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1991 - December 31, 2012
FINANCIAL WEST GROUP
November 1, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
April 10, 1989 - June 3, 1989
CETERA WEALTH SERVICES, LLC
May 11, 1987 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
November 20, 1985 - January 7, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
