William P. 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 Patrick Jones, who also goes by Patrick Jones, W Jones, W. Patrick Jones, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 11 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 52, Series 53 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
August 27, 2012 - June 12, 2013
WELLS INVESTMENT SECURITIES,INC.
September 22, 2011 - September 10, 2012
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
May 20, 2011 - September 10, 2012
CAPITAL INVESTMENT GROUP, INC.
February 4, 2010 - September 23, 2010
STIRA CAPITAL MARKETS GROUP, LLC
June 15, 2006 - December 7, 2009
GRUBB & ELLIS SECURITIES, INC.
June 11, 2002 - February 16, 2006
WELLS INVESTMENT SECURITIES,INC.
April 28, 2000 - November 13, 2001
ADVANTAGE CAPITAL CORPORATION
September 4, 1997 - June 3, 2002
FSC SECURITIES CORPORATION
July 10, 1995 - February 21, 1997
KEOGLER, MORGAN & COMPANY, INC.
March 28, 1994 - April 18, 1995
SOUTHTRUST SECURITIES, LLC
December 6, 1993 - April 12, 1994
CHARLES SCHWAB & CO., INC.
May 25, 1993 - November 19, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
Series 55
Date: 2/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
WELLS INVESTMENT SECURITIES,INC.
CRD#: 15252 / SEC#: , 8-31924
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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