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DJ

Dwight A. Jones

Some features on this profile are disabled
CRD#: 1830351
DJ

Professional summary

Dwight A.s.o. Jones was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dwight is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Dwight had worked at 4 firms, which includes GUNNALLEN FINANCIAL INC, HD BROUS & CO. INC., FIRST MONTAUK SECURITIES CORP., MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dwight Sean Jones

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 11, 2002 - August 3, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

December 19, 2001 - September 5, 2002

HD BROUS & CO., INC.

BD
CRD#: 22062
GREAT NECK, NY
Past

April 18, 1996 - December 20, 2001

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

June 17, 1988 - April 30, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/17/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

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.

Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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