Timothy L. 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.
Timothy Laird Jones, who also goes by Tim Jones, Timothy L Jones, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1989. Timothy had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2010 - January 7, 2020
MOLONEY SECURITIES CO., INC.
August 9, 2002 - January 4, 2010
WASSERMAN & ASSOCIATES, INC.
November 9, 2001 - May 30, 2002
H.C.WAINWRIGHT & CO., LLC
February 14, 2001 - July 11, 2001
JOSEPHTHAL & CO., INC.
June 28, 1999 - February 26, 2001
RYAN BECK & CO.
January 17, 1994 - July 15, 1999
EARLYBIRDCAPITAL, INC.
January 6, 1993 - April 20, 1994
JOSEPHTHAL & CO., INC.
December 1, 1992 - February 4, 1993
REICH & CO., INC.
November 29, 1991 - December 1, 1992
REICH & CO., INC.
December 6, 1990 - November 29, 1991
DOMINICK & DICKERMAN LLC
September 19, 1989 - January 9, 1990
CIBC WORLD MARKETS CORP.
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
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
