John R. Jones
Professional summary
John Robert Jones JR. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, John had worked at 3 firms, which includes REGALIA FINANCIAL ADVISORS LLC, ASTRAL FINANCIAL GROUP LLC, DYNAMIC EQUITY PARTNERS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2015 - January 22, 2019
REGALIA FINANCIAL ADVISORS, LLC
July 30, 2007 - July 17, 2008
ASTRAL FINANCIAL GROUP, LLC
May 19, 2005 - December 10, 2006
DYNAMIC EQUITY PARTNERS, LLC
State Registrations and Notice Filings
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Exams
Series 28
Date: 5/12/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
REGALIA FINANCIAL ADVISORS, LLC
CRD#: 207514 / SEC#:
Contact information
Red Flags
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