Andrew 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.
Andrew Jones was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2017. Andrew had worked at 18 firms and has passed the 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
July 1, 2019 - November 14, 2019
COMPASS DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
SMEAD FUNDS DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
January 29, 2018 - November 14, 2019
ORBIS INVESTMENTS (U.S.), LLC
January 29, 2018 - November 14, 2019
NORTHERN FUNDS DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
MGI FUNDS DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
IMST DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
FUNDS DISTRIBUTOR, LLC
January 29, 2018 - November 14, 2019
FORESIDE INVESTMENT SERVICES, LLC
January 29, 2018 - November 14, 2019
FORESIDE GLOBAL SERVICES, LLC
January 29, 2018 - November 14, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
January 29, 2018 - November 14, 2019
FORESIDE FINANCIAL SERVICES, LLC
January 29, 2018 - November 14, 2019
FORESIDE DISTRIBUTION SERVICES, L.P.
January 29, 2018 - November 14, 2019
FORESIDE ASSOCIATES, LLC
January 29, 2018 - November 14, 2019
FAIRHOLME DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
BD COMPLIANCE SOLUTIONS, LLC
February 6, 2017 - December 31, 2022
FORESIDE FUND SERVICES, 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
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
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.
