William S. 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.
William Stephen Jones, who also goes by Bore Jones, William S B Jones, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 15 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2004 - October 22, 2004
NATIONAL SECURITIES CORPORATION
February 14, 2003 - June 30, 2004
JOSEPH STEVENS & CO., INC.
September 16, 2002 - March 3, 2003
LEGEND SECURITIES, INC.
August 31, 2000 - June 6, 2001
BNY MELLON SECURITIES LLC
June 18, 1999 - April 10, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
December 9, 1996 - June 23, 1997
EASTBROOK CAPITAL GROUP LLC
October 31, 1996 - November 18, 1996
AMERICORP SECURITIES, INC.
April 19, 1996 - August 15, 1996
TASIN & COMPANY, INC.
March 7, 1995 - September 18, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
December 1, 1994 - January 19, 1995
INVESTORS ASSOCIATES, INC.
September 6, 1994 - October 4, 1994
INSTITUTIONAL EQUITY CORPORATION
July 21, 1994 - August 26, 1994
SAPERSTON FINANCIAL INC.
January 28, 1994 - May 17, 1994
BUTTONWOOD SECURITIES, INC.
February 25, 1993 - March 19, 1993
H.J. MEYERS & CO., INC.
May 1, 1989 - September 6, 1990
FORESTERS FINANCIAL SERVICES, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
