Robbi J. Jones
Professional summary
Robbi Julene Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robbi is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Robbi had worked at 6 firms, which includes KIPLING JONES & CO. LTD., SBK-BROOKS INVESTMENT CORP., RICE FINANCIAL PRODUCTS COMPANY, BEREAN CAPITAL INCORPORATED, THE CHAPMAN CO., WELDON SULLIVAN CARMICHAEL & COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2007 - December 17, 2020
KIPLING JONES & CO., LTD.
November 3, 1998 - May 13, 2008
SBK-BROOKS INVESTMENT CORP.
June 12, 1997 - November 3, 1998
RICE FINANCIAL PRODUCTS COMPANY
January 1, 1994 - December 8, 1994
BEREAN CAPITAL INCORPORATED
July 6, 1992 - July 26, 1993
THE CHAPMAN CO.
December 9, 1991 - April 6, 1992
WELDON SULLIVAN CARMICHAEL & COMPANY
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: 4/13/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
KIPLING JONES & CO., LTD.
CRD#: 144730 / SEC#: , 8-67672
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RJJ HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| LINE STREET HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| JONESCAP, LLC | GENERAL PARTNER | |
| ROACH, ROBERT GARFIELD JR | DESIGNATED PRINCIPAL & CCO | 2731222 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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