Michael A. Jones
Professional summary
Michael Andre Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Michael had worked at 12 firms, which includes MALORY INVESTMENTS LLC, AMERIVET SECURITIES INC., CAMDEN SECURITIES INC., SENTRA SECURITIES CORPORATION, JOSEPH CHARLES & ASSOC. INC., H.J. MEYERS & CO. INC., THE BOSTON GROUP, CAPITAL MARKETS GROWTH CORPORATION, COLUMBUS FINANCIAL INC., FORTRESS SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2004 - June 12, 2006
MALORY INVESTMENTS, LLC
March 11, 2004 - February 11, 2005
AMERIVET SECURITIES, INC.
January 24, 2002 - August 1, 2002
AMERIVET SECURITIES, INC.
January 30, 2001 - February 13, 2001
AMERIVET SECURITIES, INC.
June 17, 1998 - October 19, 1999
CAMDEN SECURITIES, INC.
March 12, 1998 - May 21, 1998
SENTRA SECURITIES CORPORATION
November 10, 1997 - February 17, 1998
JOSEPH CHARLES & ASSOC., INC.
December 17, 1996 - October 16, 1997
H.J. MEYERS & CO., INC.
August 8, 1995 - February 8, 1997
THE BOSTON GROUP
June 9, 1995 - August 22, 1995
CAPITAL MARKETS GROWTH CORPORATION
August 5, 1992 - June 14, 1995
COLUMBUS FINANCIAL, INC.
February 6, 1992 - August 4, 1992
FORTRESS SECURITIES, INC.
September 30, 1991 - October 25, 1993
IDS LIFE INSURANCE COMPANY
September 30, 1991 - October 25, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MALORY INVESTMENTS, LLC
CRD#: 110936 / SEC#: , 8-53143
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEIN, RONALD | MANAGING MBR/CEO/CFO/CCO | 434761 |
| STRAUSS, STEPHEN | MEMBER | |
| ZELLMER, KENNETH EUGENE JR | PRINCIPAL |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
Red Flags
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