Paul M. 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.
Paul Michael Jones, who also goes by Michael Jones, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2011 - April 2, 2019
ALPS DISTRIBUTORS, INC.
October 29, 2008 - December 31, 2010
ROBERT W. BAIRD & CO. INCORPORATED
March 31, 2008 - April 2, 2019
RIVERFRONT INVESTMENT GROUP, LLC
July 13, 2001 - June 3, 2002
TATTERSALL ADVISORY GROUP INC
January 12, 2000 - April 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - April 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 15, 1994 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
