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DJ

Douglas E. Jones

Some features on this profile are disabled
CRD#: 2551604
DJ

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.

Douglas Edward Jones, CFP® was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

October 24, 2001 - April 18, 2002

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

BD
CRD#: 43000
VIRGINIA BEACH, VA
Past

June 10, 1998 - October 28, 1999

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
ROCHESTER, NY
Past

January 1, 1998 - April 10, 2017

HARVEST INVESTMENT CONSULTANTS LLC

RIA
CRD#: 110258
TIMONIUM, MD
Past

May 22, 1997 - June 4, 1998

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

January 3, 1995 - January 24, 1996

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 3, 1995 - January 24, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/9/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/4/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/1994
General Securities Representative Examination

Current Firm

FS
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
FINANCIAL GUARDIAN SERVICES, INCORPORATED | FINANCIAL SECURITY MANAGEMENT, INCORPORATED

CRD#: 43000 / SEC#: , 8-50094

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
477 Viking Drive Suite 305, Virginia Beach, VA 23452
Mailing Address
477 Viking Drive Suite 305, Virginia Beach, VA 23452
Phone number
(757) 431-1414
Established
Virginia since 01/17/1997
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINANCIAL SECURITY COMPANIES, LLCOWNER
BLACHURA, GAYLE ELIZABETHPRESIDENT2874363
CORINALDI, REGINALD CURTISVICE PRESIDENT1054108
DEJARNETTE, KRISTY ELEYCOO, PFO, POO, FINOP7632290
JENKS, CHARLES FREDERICK JRVICE PRESIDENT1486892
MEGGINSON, ARCHIE RAY SRSECRETARY1479442
ORLANDO, JOHN THOMASVICE PRESIDENT2692207
SCHWALJE, GLENN SCOTTCHIEF COMPLIANCE OFFICER / AMLCO2441501
WOODALL, RICHARD DUNCANVICE PRESIDENT716996

Disclosures

Regulatory Event1

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.

Company Information

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

CRD#: 43000

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