Steven 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.
Steven Jones was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 11 firms and has passed the Series 63, Series 7 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
September 19, 2005 - April 9, 2007
FIRST MIDWEST SECURITIES, INC.
April 25, 2005 - August 25, 2005
ARCHER ALEXANDER SECURITIES CORPORATION
July 24, 2002 - April 26, 2005
FINANCIAL WORLD CORPORATION
November 23, 1999 - July 25, 2002
WOODSTOCK FINANCIAL GROUP, INC.
November 2, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
October 21, 1999 - October 26, 1999
EISNER SECURITIES, INC.
October 9, 1998 - October 18, 1999
THE CAMELOT GROUP, INC.
January 26, 1998 - October 20, 1998
NATIONAL SECURITIES CORPORATION
October 24, 1996 - January 9, 1998
ROYCE INVESTMENT GROUP, INC.
October 17, 1996 - November 19, 1996
KENSINGTON WELLS INCORPORATED
May 1, 1996 - September 30, 1996
INVESTORS ASSOCIATES, 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
Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
