Rufus 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.
Rufus Elmer Jones JR. was a registered financial professional .
Rufus is a previously registered financial professional and started their career in finance in 2001. Rufus had worked at 5 firms and has passed the Series 66, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - November 16, 2020
WATERMILL INSTITUTIONAL TRADING LLC
May 28, 2008 - January 4, 2011
CASTLEOAK SECURITIES, LP
July 13, 2005 - June 7, 2007
LEHMAN BROTHERS INC.
July 11, 2005 - June 7, 2007
LEHMAN BROTHERS INC.
January 3, 2005 - July 12, 2005
TRUIST INVESTMENT SERVICES, INC.
May 26, 2004 - July 12, 2005
TRUIST INVESTMENT SERVICES, INC.
October 18, 2001 - April 22, 2004
GOLDMAN SACHS & CO. LLC
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
Series 55
Date: 3/1/2010
Limited Representative-Equity Trader ExamCurrent Firm
WATERMILL INSTITUTIONAL TRADING LLC
CRD#: 150892 / SEC#: , 8-68311
Contact information
FINRA licenses (15 States and Territories)
Red Flags
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