Fredric H. 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.
Fredric Hansen Jones, who also goes by Fred Hansen Jones, was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 1969. Fredric had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1 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
May 15, 2002 - March 1, 2017
GEORGE K. BAUM & COMPANY
January 27, 1995 - May 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 1984 - May 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1983 - November 16, 1984
WARREN & BROWN ASSOCIATES, INC.
December 17, 1979 - September 28, 1983
OLSEN & COMPANY
December 30, 1976 - February 16, 1978
FIRST EQUITIES CORP.
August 5, 1974 - December 26, 1974
UNIVERSAL UNDERWRITING SERVICE, INC.
October 7, 1969 - October 6, 1976
E H COLTHARP AND CO
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: 10/4/1969
Registered Representative ExaminationSeries 00
Date: 12/15/1972
General Securities Principal ExaminationCurrent Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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