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RJ

Richard T. Jones

Some features on this profile are disabled
CRD#: 2699476
RJ

Professional summary

Richard Talcott Jones, who also goes by Richard Jones, Rick Jones, was a registered financial professional .

Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Jones | Rick Jones

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2007 - December 13, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

June 27, 2007 - September 17, 2007

ABN AMRO INCORPORATED

BD
CRD#: 15776
CHICAGO, IL
Past

April 11, 2005 - June 27, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 20, 2005 - March 9, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

August 24, 2004 - January 7, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 19, 1996 - August 6, 2004

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(10/26/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/7/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LF
LASALLE FINANCIAL SERVICES, INC.
ABN AMRO FINANCIAL SERVICES, INC. | LASALLE FINANCIAL SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | EXCHANGE SECURITIES CORP. | EXCHANGE NATIONAL SECURITIES CORP. | DEMEER MIDDLE MARKET CLO 2006-1, LTD | ABN AMRO INVESTMENT SERVICES, INC.

CRD#: 20373 / SEC#: , 8-38264

BD
Terminated by SEC on 12/26/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/28/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BANK OF AMERICA, NATIONAL ASSOCIATIONSHAREHOLDER
MCCAFFREY, TERRY MICHAELPRESIDENT, CEO, CHAIRMAN4850382
MYRICK, THOMAS GRAHAMDIRECTOR4014675
ROMANO, JOHN GARYFINOP/TREASURER5078610

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

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