Dennis K. Jones
Professional summary
Dennis Keith Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Dennis had worked at 4 firms, which includes QUICK & REILLY INC., UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FIDELITY BROKERAGE SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2001 - May 24, 2002
QUICK & REILLY, INC.
July 20, 1999 - March 21, 2001
UBS FINANCIAL SERVICES INC.
December 1, 1994 - July 22, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 1994 - December 12, 1994
FIDELITY BROKERAGE SERVICES LLC
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
QUICK & REILLY, INC.
CRD#: 11217 / SEC#: , 8-17986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUICK & REILLY/FLEET SECURITIES, INC. | 100% SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | EXECUTIVE VICE PRESIDENT | 1079745 |
| CONWAY, JOSEPH FRANCIS | SROP | 1299116 |
| DORFMAN, BETH ELYSE | GENERAL COUNSEL & SECRETARY | 1299764 |
| GOLDMEER, MICHELE | SENIOR COUNSEL & ASSISTANT SECRETARY | 4273410 |
| GREGOR, STANLEY ANTHONY | PRESIDENT /CEO | 1672974 |
| LOUKAS, RONALD STANSBURY | MUNICIPAL PRINCIPAL | 1054716 |
| MATTIA, GERARD | CHIEF OPERATING OFFICER | 4728053 |
| MOYNIHAN, BRIAN | BOARD MEMBER | 4553207 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER | 1821188 |
| SCHRODER, ALAN ARTHUR SR. | DIRECTOR | 801763 |
| TEMPLE, CYNTHIA JO | CHIEF OPERATIONS OFFICER | 2444506 |
| WINTHER, TORBEN OLELERCHE | CHIEF COMPLIANCE OFFICER | 1821483 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 2 |
| Arbitration | 10 |
Red Flags
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