Carter A. 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.
Carter Allen Jones JR, who also goes by Carter Allen James, was a registered financial professional .
Carter is a previously registered financial professional and started their career in finance in 1987. Carter had worked at 5 firms and has passed the Series 63, Series 7, Series 53, Series 4 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 25, 1991 - July 2, 1992
JW GENESIS CLEARING CORP.
October 12, 1990 - October 1, 1991
BILTMORE SECURITIES, INC.
May 1, 1990 - October 26, 1990
PARKER JAMESON, INC.
September 20, 1989 - May 21, 1990
CITIGROUP GLOBAL MARKETS INC.
October 21, 1987 - September 13, 1989
MARSHALL DAVIS, 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
JW GENESIS CLEARING CORP.
CRD#: 6631 / SEC#: , 8-17907
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
