Christopher T. 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.
Christopher Talmage Jones, who also goes by Chris Jones, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1970. Christopher had worked at 15 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2004 - December 1, 2004
WORLD GROUP SECURITIES, INC.
February 5, 2003 - July 15, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 12, 2002 - December 31, 2002
MUTUAL SERVICE CORPORATION
April 27, 2001 - January 2, 2002
PACIFIC GLOBAL FUND DISTRIBUTORS, INC.
October 11, 1988 - April 26, 2001
MORGAN STANLEY DW INC.
August 10, 1987 - August 19, 1987
MANIATIS SECURITIES, INC.
February 13, 1985 - May 20, 1987
BALCOR SECURITIES COMPANY
April 10, 1984 - January 2, 1985
MCNEIL SECURITIES CORPORATION
February 1, 1983 - February 10, 1984
U. S. CAPITAL SECURITIES, INC.
August 6, 1982 - August 26, 1983
CETERA ADVISORS LLC
December 28, 1973 - April 6, 1976
J DANIEL BELL & COMPANY, INC.
March 13, 1972 - January 26, 1973
NEWFIRLD INVESTMENTS INC
July 27, 1971 - September 14, 1971
FIRST CALIFORNIA COMPANY, INCORPORATED
April 7, 1970 - August 28, 1972
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 7, 1970 - August 28, 1972
KEYSTONE ACCUMULATION PLANS, 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
Series 1
Date: 4/22/1968
Registered Representative ExaminationF04
Date: 11/16/1973
Financial Principal ExaminationSeries 00
Date: 11/16/1973
General Securities Principal ExaminationCurrent Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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.
