Thaddeus N. 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.
Thaddeus Nmn Jones JR, who also goes by Teejay Jones, Thad Jones, Thaddeus Jones Jr, Thaddeus Jones, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1995. Thaddeus had worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6 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
May 3, 1996 - December 21, 2023
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
September 11, 1995 - August 30, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 11, 1995 - August 30, 1996
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
CRD#: 32338 / SEC#: 801-79830, 8-46412
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
CRD#: 32338 / SEC#: 801-79830, 8-46412
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,432 |
| AUM (Assets Under Management) | $ 286,152,291 |
Disclosures
| Arbitration | 1 |
| Financial | 1 |
Red Flags
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