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PJ

Pia M. Jones

Some features on this profile are disabled
CRD#: 4157347
PJ

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.

Pia Marie Jones, who also goes by Pia Marie Jones Slaughter, was a registered financial professional .

Pia is a previously registered financial professional and started their career in finance in 2000. Pia had worked at 5 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pia Marie Jones Slaughter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 27, 2004 - June 26, 2007

HMC INVESTMENTS, LLC

BD
CRD#: 40581
NEW YORK, NY
Past

July 18, 2002 - December 11, 2003

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

May 31, 2000 - June 13, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 19, 2000 - May 16, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 19, 2000 - May 16, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2000
General Securities Representative Examination

Current Firm

HI
HMC INVESTMENTS, LLC
HARBINGER SECURITIES, INC. | HMC INVESTMENTS, LLC | HMC INVESTMENTS, INC.

CRD#: 40581 / SEC#: , 8-49140

BD
Terminated by SEC on 02/08/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 11/30/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBERT MANAGEMENT CORPORATION100% OWNERSHIP
BAUDER, MICHAEL CONRADCHIEF COMPLIANCE OFFICER2318491
BAUDER, MICHAEL CONRADPRESIDENT2318491

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.

Company Information

HMC INVESTMENTS, LLC

CRD#: 40581

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