Andrew D. Jones
Professional summary
Andrew Dwight Jones is a registered financial professional currently at REGIONS SECURITIES LLC located in Atlanta, Georgia.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1998. Andrew has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Dwight Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2025 - Present
REGIONS SECURITIES LLC
Office #1: 1180 W Peachtree Street Nw, Atlanta, GA 30309January 8, 2004 - August 12, 2025
FIFTH THIRD SECURITIES, INC.
June 29, 1998 - October 23, 2002
MORGAN STANLEY DW 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
(9/19/2025)
(9/21/2025)
Exams
FINRA
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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