R B. Jones
Professional summary
R Barry Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
R is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, R had worked at 6 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC., MORGAN KEEGAN & COMPANY LLC, WACHOVIA SECURITIES INC., GUARDIAN INVESTOR SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - September 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 17, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 18, 2002 - October 20, 2004
QUICK & REILLY, INC.
July 16, 2001 - April 25, 2002
MORGAN KEEGAN & COMPANY, LLC
August 8, 1996 - July 17, 2001
WACHOVIA SECURITIES, INC.
February 10, 1994 - August 20, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 1993 - January 5, 1994
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
