Scott D. 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.
Scott Douglas Jones, who also goes by Scott D Jones, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 79, 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
May 1, 2013 - February 28, 2019
INDEPENDENT BROKERAGE SOLUTIONS LLC
September 18, 2012 - November 21, 2012
DAWSON JAMES SECURITIES, INC.
July 23, 2012 - September 14, 2012
RODMAN & RENSHAW, LLC
August 6, 2010 - November 2, 2011
J.P. MORGAN SECURITIES LLC
December 21, 2007 - September 2, 2008
BLAYLOCK VAN, LLC
July 21, 2006 - December 21, 2007
BLAYLOCK & COMPANY, INC.
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
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory 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.
