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MJ

Mary Beth B Jones

CRD# 1596465·Registered 1987 - 2015
Previously Registered: Being a previously registered professional could mean that Mary Beth 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.

Professional Summary

Mary Beth B Jones, who also goes by Marybeth Buck, Marybeth B Jones, Marybeth Buck Jones, Marybeth Jones, was a registered financial advisor. Mary Beth was a previously registered financial professional and started their career in finance 1987 - 2015. Mary Beth had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marybeth Buck, Marybeth B Jones, Marybeth Buck Jones, Marybeth Jones

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

AEQUUS WEALTH MANAGEMENT RESOURCES, LLC·CRD# 106563
RIA
Wilmette, IL
June 3, 2013 - September 16, 2015
BUSS CAPITAL MANAGEMENT, LLC·CRD# 165447
RIA
Lake Forest, IL
January 2, 2013 - December 26, 2014
MORGAN STANLEY·CRD# 149777
RIA
Riverwoods, IL
November 16, 2010 - September 6, 2011
MORGAN STANLEY·CRD# 149777
BD
Riverwoods, IL
September 17, 2010 - September 6, 2011
WINTRUST INVESTMENTS LLC·CRD# 875
BD
Lake Forest, IL
October 14, 2002 - January 15, 2009
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
March 8, 2001 - December 14, 2001
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
February 1, 1999 - December 18, 2000
WINGSPAN INVESTMENT SERVICES·CRD# 17516
BD
Chicago, IL
October 5, 1989 - February 1, 1999
FIRST OPTIONS OF CHICAGO, INC.·CRD# 13822
BD
Chicago, IL
November 25, 1987 - April 3, 1989

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Current Firm

AW
AEQUUS WEALTH MANAGEMENT RESOURCES, LLC

AEQUUS WEALTH MANAGEMENT RESOURCES | AEQUUS WEALTH MANAGEMENT RESOURCES, LLC

CRD#: 106563 / SEC#: 801-41118

Contact Information

Main Address

303 West Erie Street, Ste 311, Chicago, IL 60654

Documents

Latest Form ADV

Part 2 Brochures

AEQUUS ADV FORM 2A (7/24/2015)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2010About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1987About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Nov 1986About the Series 3 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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