Olivia S. Moore-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.
Olivia Susan Moore-jones, who also goes by Olivia Susan Moore, was a registered financial professional .
Olivia is a previously registered financial professional and started their career in finance in 2001. Olivia had worked at 5 firms and has passed the Series 66 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
July 3, 2014 - January 6, 2022
J.P. KING ADVISORS, INC.
September 26, 2006 - August 15, 2007
PURSHE KAPLAN STERLING INVESTMENTS
August 2, 2006 - June 2, 2014
CANNON BEACH FINANCIAL ADVISORS
March 14, 2001 - July 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 1, 2001 - July 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
J.P. KING ADVISORS, INC.
CRD#: 112109 / SEC#: 801-60296
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
J.P. KING ADVISORS, INC.
CRD#: 112109 / SEC#: 801-60296
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 743,700,000 |
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.
