Charlie M. Jones
Professional summary
Charlie Michael Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charlie is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Charlie had worked at 6 firms, which includes COUNTRY CAPITAL MANAGEMENT COMPANY, VALIC FINANCIAL ADVISORS INC., ALLSTATE FINANCIAL SERVICES LLC, LPL FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2010 - May 31, 2012
COUNTRY CAPITAL MANAGEMENT COMPANY
September 24, 2009 - March 9, 2010
VALIC FINANCIAL ADVISORS, INC.
May 8, 2009 - March 9, 2010
VALIC FINANCIAL ADVISORS, INC.
March 11, 2008 - June 5, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 15, 2006 - March 18, 2008
LPL FINANCIAL LLC
April 8, 2002 - May 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 11, 1996 - April 9, 2002
EDWARD JONES
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
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
Red Flags
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