Samuel R. 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.
Samuel Ray Jones was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1970. Samuel had worked at 18 firms and has passed the Series 65, Series 63, Series 7, 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
January 18, 2005 - July 13, 2017
PACIFIC ASSET MANAGMENT OF OR LLC
October 4, 2002 - January 26, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
February 6, 2002 - January 26, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
April 14, 1998 - February 27, 2002
ASSOCIATED SECURITIES CORP.
June 12, 1997 - November 14, 1997
LPL FINANCIAL LLC
June 7, 1996 - June 16, 1997
FFP SECURITIES, INC.
July 5, 1995 - June 5, 1996
SUNAMERICA SECURITIES, INC.
June 3, 1992 - April 24, 1995
INVEST FINANCIAL CORPORATION
April 4, 1991 - September 25, 1991
LPL FINANCIAL LLC
September 20, 1990 - April 4, 1991
IDS LIFE INSURANCE COMPANY
September 20, 1990 - April 4, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 1987 - September 24, 1990
ASSOCIATED SECURITIES CORP.
September 27, 1984 - February 18, 1987
PROTECTED INVESTORS OF AMERICA
September 19, 1983 - October 19, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1982 - September 16, 1983
MORGAN STANLEY DW INC.
January 17, 1982 - June 4, 1984
PFS INVESTMENTS INC.
January 9, 1978 - March 19, 1980
WADDELL & REED
June 14, 1977 - February 3, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 1, 1971 - September 12, 1971
SWANTON SECURITIES, INC.
April 14, 1971 - July 11, 1971
MFB SECURITIES, INC
September 10, 1970 - May 7, 1971
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/8/1977
Registered Representative ExaminationCurrent Firm
PACIFIC ASSET MANAGMENT OF OR LLC
CRD#: 133420 / SEC#:
Contact information
Red Flags
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