Joe C. 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.
Joe Curtis Jones III, who also goes by Curt J Jones III, Curt Jones III, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1986. Joe had worked at 6 firms and has passed the Series 63, Series 7, Series 6 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
September 7, 1990 - July 8, 1993
CARTY, HARDING & HEARN, INC.
April 12, 1990 - August 14, 1990
IDS LIFE INSURANCE COMPANY
April 12, 1990 - August 14, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1988 - August 24, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1987 - June 27, 1988
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
June 30, 1986 - August 10, 1987
FIRST FUNDS, 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
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
