Thomas N. 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.
Thomas Nicholas Jones, who also goes by Thomas N Jones, Tom Jones, Thomas Nicholas Jones, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2019 - April 13, 2020
280 SECURITIES LLC
July 2, 2019 - September 21, 2019
IFS SECURITIES
March 1, 2013 - July 31, 2018
CITY NATIONAL ROCHDALE
December 20, 2012 - July 31, 2018
CNR SECURITIES, LLC
January 24, 2006 - December 3, 2007
UST SECURITIES CORP.
March 3, 2004 - November 21, 2005
HILLTOP SECURITIES INC.
August 18, 2000 - March 17, 2004
HSBC BROKERAGE (USA) INC.
January 1, 1999 - July 26, 2000
CHAPDELAINE TULLETT PREBON, LLC
October 2, 1997 - October 27, 1998
GRUNTAL & CO., L.L.C.
June 20, 1991 - October 16, 1997
CHAPDELAINE TULLETT PREBON, LLC
October 19, 1988 - April 19, 1991
SAMUEL A. RAMIREZ & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
280 SECURITIES LLC
CRD#: 284939 / SEC#: , 8-69819
Contact information
Documents
Red Flags
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