Bennett L. 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.
Bennett Lee Jones was a registered financial professional .
Bennett is a previously registered financial professional and started their career in finance in 1993. Bennett had worked at 5 firms and has passed the Series 63, 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
February 5, 1997 - August 28, 1997
SANFORD ROBERTS, INC.
October 20, 1995 - December 31, 1996
DOMINION CAPITAL CORPORATION
June 23, 1995 - October 27, 1995
T.L. GROUP, INC.
January 24, 1994 - September 25, 1995
T.L. SMITH SECURITIES
April 20, 1993 - December 31, 1993
PROSPERA FINANCIAL SERVICES, INC.
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
SANFORD ROBERTS, INC.
CRD#: 36659 / SEC#: , 8-47326
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
