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JJ

John Robert Jones Jr

CRD# 2352384·Registered 1993 - 2002
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Robert Jones JR, who also goes by John Robert Jones, Jr Jones, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1993 - 2002. John had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Robert Jones, Jr Jones

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

PATON WAGNER CORPORATION·CRD# 30784
BD
Marina Del Rey, CA
October 19, 1998 - June 19, 2002
NORTHRIDGE CAPITAL CORPORATION·CRD# 16467
BD
Melville, NY
May 1, 1996 - January 11, 2000
GLOBAL STRATEGIES GROUP, INC.·CRD# 27414
BD
New York, NY
May 12, 1995 - December 14, 1995
COLUMBUS FINANCIAL, INC.·CRD# 22709
BD
Beverly Hills, CA
August 27, 1993 - May 4, 1995

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Current Firm

PW
PATON WAGNER CORPORATION

PATON WAGNER CORPORATION

CRD#: 30784 / SEC#: 8-45154
BD
Terminated by SEC on 08/30/2002

Contact Information

Established

California since 08/12/1992

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
WAGNER, WARREN EDWINPRESIDENT, SEC & TREAS1608630
WAGNER, WARREN EDWINPRESIDENT - OWNER1608630

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JJ
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