Steven W. 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.
Steven William Jones was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 4 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
October 11, 2017 - December 27, 2018
REALTYSHARES SECURITIES, LLC
June 1, 2016 - September 6, 2016
MERRIMAN CAPITAL, INC.
September 8, 2014 - January 4, 2016
MERRIMAN CAPITAL, INC.
July 1, 2013 - September 23, 2014
W.R. HAMBRECHT + CO., LLC
December 21, 2007 - May 2, 2012
NEWEDGE USA, LLC
April 19, 2006 - November 19, 2007
KECK SECURITIES
December 6, 2000 - November 27, 2007
COWEN PRIME SERVICES TRADING 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
Current Firm
REALTYSHARES SECURITIES, LLC
CRD#: 283560 / SEC#: , 8-69760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REALTYSHARES, INC | OWNER/MEMBER | |
| FASSLER, LAWRENCE JOSEF | CEO, CCO, AMLCO | 6288924 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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