Thomas Q. 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.
Thomas Quincy Jones, who also goes by Quincy Jones, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
January 4, 2018 - January 28, 2020
BRIDGE CAPITAL ASSOCIATES, INC.
November 24, 2015 - October 6, 2016
TEMPLUM MARKETS LLC
October 16, 2014 - July 1, 2015
BRIDGE ACCESS ADVISORS
March 1, 2013 - July 1, 2014
PURSHE KAPLAN STERLING INVESTMENTS
June 11, 2012 - March 12, 2013
LPL FINANCIAL LLC
January 13, 2012 - June 30, 2014
WALDRON PRIVATE WEALTH
October 3, 2011 - May 25, 2012
LPL FINANCIAL LLC
October 3, 2011 - March 12, 2013
LPL FINANCIAL LLC
October 25, 2007 - April 20, 2010
UBS FINANCIAL SERVICES INC.
October 25, 2007 - April 20, 2010
UBS FINANCIAL SERVICES INC.
June 10, 2005 - November 21, 2007
J.P. MORGAN SECURITIES LLC
May 20, 2004 - November 21, 2007
J.P. MORGAN SECURITIES 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
Current Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
