Roger 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.
Roger Clayton Jones was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 28 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
June 5, 2007 - March 7, 2017
TENECA, LLC
October 28, 2003 - June 26, 2007
DEVENIR, LLC
February 11, 2002 - October 24, 2003
AETHLON CAPITAL, L.L.C
April 8, 1998 - September 15, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 2, 1998 - April 8, 1998
RBC CAPITAL MARKETS, LLC
September 22, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 5, 1987 - August 20, 1993
SBC WARBURG DILLON READ 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
Series 28
Date: 7/9/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TENECA, LLC
CRD#: 142940 / SEC#: , 8-67509
Contact information
Documents
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.
