Arthur A. 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.
Arthur Andrew Jones, who also goes by Arthur A Jones, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1994. Arthur had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2018 - June 26, 2019
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
May 27, 2008 - January 2, 2019
LPL FINANCIAL LLC
October 1, 1998 - May 27, 2008
IFMG SECURITIES, INC.
February 11, 1997 - September 30, 1998
INVEST FINANCIAL CORPORATION
January 21, 1996 - February 14, 1997
CAPITAL ONE INVESTMENT SERVICES LLC
May 24, 1995 - March 25, 1996
CAL FED INVESTMENTS
April 18, 1994 - May 31, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 18, 1994 - May 31, 1995
SIGNATOR INVESTORS, 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
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| 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.
