Wendy G. 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.
Wendy Gail Jones, who also goes by Wendy Gail Hazen, Wendy Gail Papineau, Wendy Gail Roberts, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2002. Wendy had worked at 3 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2008 - February 3, 2016
ESSEX NATIONAL SECURITIES, LLC
July 6, 2005 - June 20, 2008
CHASE INVESTMENT SERVICES CORP.
October 22, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
