Robert 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.
Robert Thomas Jones was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 6 firms and has passed the Series 63, Series 1 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
November 27, 2000 - July 1, 2004
GUNNALLEN FINANCIAL, INC
April 15, 1996 - November 13, 2000
STRATEGIC ASSETS INC.
September 17, 1980 - July 31, 1996
TILDEN PARTNERS, INC.
December 29, 1978 - October 15, 1980
MCMANEUS & CO., INC.
September 25, 1973 - February 9, 1979
E. F. HUTTON & COMPANY INC
April 23, 1971 - November 15, 1973
THE INVESTAMERICA GROUP 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: 4/12/1971
Registered Representative ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
