JJ
Jeffrey M. Jones
WELLS FARGO SECURITIES
CHARLOTTE, NC 28202
CRD#: 4568427
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JJ
Jeffrey M JonesWELLS FARGO SECURITIES
Professional summary
Jeffrey M Jones is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina and CITIZENS JMP SECURITIES, LLC located in Charlotte, North Carolina.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2002. Jeffrey has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey M Jones's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 26, 2007 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street, Charlotte, NC 28202BD
CRD#: 126292
CHARLOTTE, NC
Current
June 2, 2026 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 4250 Congress Street Suite 300, Charlotte, NC 28209BD
CRD#: 22208
Charlotte, NC
Past
October 6, 2002 - April 25, 2007
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/26/2007)
RR
Alaska(4/26/2007)
RR
Arizona(4/26/2007)
RR
Arkansas(4/26/2007)
RR
California(4/26/2007)
RR
Colorado(4/26/2007)
RR
Connecticut(4/26/2007)
RR
Delaware(4/26/2007)
RR
District of Columbia(4/26/2007)
RR
Florida(4/26/2007)
RR
Georgia(4/26/2007)
RR
Hawaii(4/26/2007)
RR
Idaho(4/26/2007)
RR
Illinois(4/26/2007)
RR
Indiana(4/26/2007)
RR
Iowa(4/26/2007)
RR
Kansas(4/26/2007)
RR
Kentucky(4/26/2007)
RR
Louisiana(4/26/2007)
RR
Maine(4/26/2007)
RR
Maryland(4/26/2007)
RR
Massachusetts(4/26/2007)
RR
Michigan(4/26/2007)
RR
Minnesota(4/26/2007)
RR
Mississippi(4/26/2007)
RR
Missouri(4/26/2007)
RR
Montana(4/26/2007)
RR
Nebraska(4/26/2007)
RR
Nevada(4/26/2007)
RR
New Hampshire(4/26/2007)
RR
New Jersey(4/26/2007)
RR
New Mexico(4/26/2007)
RR
New York(4/26/2007)
RR
North Carolina(4/26/2007)
RR
North Dakota(4/26/2007)
RR
Ohio(4/26/2007)
RR
Oklahoma(4/26/2007)
RR
Oregon(4/26/2007)
RR
Pennsylvania(4/26/2007)
RR
Puerto Rico(4/26/2007)
RR
Rhode Island(4/26/2007)
RR
South Carolina(4/26/2007)
RR
South Dakota(4/26/2007)
RR
Tennessee(4/26/2007)
RR
Texas(4/26/2007)
RR
Utah(4/26/2007)
RR
Vermont(4/26/2007)
RR
Virgin Islands(2/10/2011)
RR
Virginia(4/26/2007)
RR
Washington(4/26/2007)
RR
West Virginia(4/26/2007)
RR
Wisconsin(4/26/2007)
RR
Wyoming(4/26/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| PITARRESI, JOHN CHARLES | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 2064758 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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.
