Gregory A. 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.
Gregory Alan Jones was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2008. Gregory had worked at 5 firms and has passed the Series 65, Series 63 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
May 19, 2016 - April 17, 2018
MASON & ASSOCIATES, INC.
May 21, 2012 - July 16, 2013
TD AMERITRADE, INC.
May 21, 2012 - July 16, 2013
TD AMERITRADE, INC.
July 5, 2010 - September 8, 2011
MORGAN STANLEY
May 19, 2010 - September 8, 2011
MORGAN STANLEY
November 17, 2008 - May 7, 2010
UBS FINANCIAL SERVICES INC.
July 1, 2008 - November 12, 2008
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
MASON & ASSOCIATES, INC.
CRD#: 141303 / SEC#: 801-67068
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
MASON & ASSOCIATES, INC.
CRD#: 141303 / SEC#: 801-67068
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,822 |
| AUM (Assets Under Management) | $ 631,260,155 |
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.
