Jone K. James
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.
Jone Kimberly James, who also goes by Jone Kimberly Hutchinson, Jone Kimberly Hutchison, was a registered financial professional .
Jone is a previously registered financial professional and started their career in finance in 1988. Jone had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2022 - August 7, 2025
AE FINANCIAL SERVICES, LLC
January 3, 2007 - December 15, 2022
INDEPENDENCE CAPITAL CO., INC.
November 8, 2002 - September 7, 2006
USALLIANZ SECURITIES, INC.
January 1, 2002 - September 26, 2002
BROOKLIGHT PLACE SECURITIES, INC.
August 26, 1997 - January 1, 2002
IAC SECURITIES, INC.
April 15, 1992 - August 25, 1997
MARINER FINANCIAL SERVICES, INC.
February 24, 1992 - May 22, 1992
WOODBURY FINANCIAL SERVICES, INC.
January 31, 1991 - December 31, 1991
WOODBURY FINANCIAL SERVICES, INC.
February 23, 1990 - December 31, 1990
USA FINANCIAL GROUP, INC.
December 6, 1988 - January 31, 1990
FFP SECURITIES, 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
AE FINANCIAL SERVICES, LLC
CRD#: 298608 / SEC#: , 8-70214
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AE FS HOLDINGS, LLC | OWNER | |
| CALLANAN, DAVID JAMES | CHIEF EXECUTIVE OFFICER | 4237166 |
| GOCHENOUR, JOLENE KAY | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6728358 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHOLZ, SHAWN | PRESIDENT | 2891167 |
| WOLFE, DAVID ROBB | GENERAL COUNSEL AND SECRETARY | 6603373 |
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.
