Patricia B. 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.
Patricia Bruce Jones, who also goes by Patricia Bruce, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2003. Patricia had worked at 6 firms and has passed the Series 66, Series 63, Series 7 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
August 1, 2012 - September 13, 2013
SPC
August 1, 2012 - September 13, 2013
PARKLAND SECURITIES, LLC
July 13, 2011 - June 19, 2012
INVESTMENT PROFESSIONALS, INC.
July 13, 2011 - June 19, 2012
INVESTMENT PROFESSIONALS, INC.
April 9, 2010 - July 26, 2011
WADDELL & REED
April 9, 2010 - July 26, 2011
WADDELL & REED
July 27, 2007 - March 5, 2010
EDWARD JONES
February 25, 2004 - March 5, 2010
EDWARD JONES
July 31, 2003 - January 27, 2004
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
