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PJ

Penny T. Jones

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CRD#: 5955260
PJ

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.

Penny Thomas Jones was a registered financial professional .

Penny is a previously registered financial professional and started their career in finance in 2012. Penny had worked at 1 firm and has passed the Series 11 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 20, 2012 - March 25, 2019

FINTRUST BROKERAGE SERVICES, LLC

BD
CRD#: 41608
GREENVILLE, SC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 11
Date: 11/19/2012
Assistant Representative-Order Processing Qualification Exam

Current Firm

FB
FINTRUST BROKERAGE SERVICES, LLC
ATLANTIC CAPITAL SECURITIES, LLC | JSP SECURITIES, LLC | FINTRUST BROKERAGE SERVICES, LLC | ELLIOTT DAVIS BROKERAGE SERVICES, LLC | EDHJ BROKERAGE SERVICES, LLC

CRD#: 41608 / SEC#: , 8-49514

BD
Terminated by SEC on 05/30/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
North Carolina since 07/17/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
UNITED COMMUNITY BANKS, INC.MEMBER
FIALA, ANGELA MARIAFINOP/PFO/POO5163386
SMITHEY, VALERIE SPRESIDENT/CEO/CCO/ROSFP2630429

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.

Company Information

FINTRUST BROKERAGE SERVICES, LLC

CRD#: 41608

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