Albert E. 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.
Albert Edward Jones, who also goes by Albert Edward Jones Jr, Ed Jones Jr, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1997. Albert had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2013 - January 30, 2014
MORGAN STANLEY
May 7, 2013 - January 30, 2014
MORGAN STANLEY
September 12, 2011 - August 28, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 8, 2011 - August 28, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 11, 2009 - March 30, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2009 - March 30, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 4, 2009 - April 9, 2009
LINCOLN INVESTMENT
January 15, 2009 - April 9, 2009
LINCOLN INVESTMENT
October 1, 2000 - March 7, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 30, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 5, 1998 - March 24, 1999
CONSECO SECURITIES, INC.
June 9, 1998 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
December 4, 1997 - April 23, 1998
GUNNALLEN FINANCIAL, INC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
