Brian H. Jones
Professional summary
Brian Hamilton Jones is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 11 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Hamilton Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2016 - Present
PATRICK CAPITAL MARKETS, LLC
December 8, 2011 - April 14, 2015
INSPEREX LLC
December 8, 2011 - April 14, 2015
INCAPITAL DISTRIBUTORS LLC
September 28, 2010 - November 25, 2011
SIP NORDIC AMERICA LLC
August 3, 2009 - June 17, 2010
ADVISORS ASSET MANAGEMENT, INC.
December 2, 2008 - July 15, 2009
MACQUARIE CAPITAL (USA) INC.
October 2, 2006 - November 26, 2008
ABN AMRO INCORPORATED
March 22, 2004 - October 12, 2006
INSPEREX LLC
April 15, 2002 - March 9, 2004
COUNTRYWIDE SECURITIES CORPORATION
June 27, 2000 - February 19, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2000 - June 27, 2000
FIRST CLEARING, LLC
July 23, 1998 - May 3, 2000
J.C. BRADFORD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/8/2016)
(11/4/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
