JJ
Jeffrey T. Jones
SAGE, RUTTY & CO.
Rochester, NY 14623
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CRD#: 7510799
JJ
Professional summary
Jeffrey Thomas Jones is a registered financial advisor currently at SAGE, RUTTY & CO., INC. located in Rochester, New York.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Jeffrey has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Thomas Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Thomas Jones's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2022 - Present
SAGE, RUTTY & CO., INC.
Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623RIA
BD
CRD#: 3254
Rochester, NY
Current
April 19, 2022 - Present
SAGE, RUTTY & CO., INC.
Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623RIA
BD
CRD#: 3254
Rochester, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/25/2022)
RR
California(8/15/2022)
RR
Florida(5/24/2022)
IAR
Florida(5/25/2022)
RR
Georgia(1/19/2023)
RR
Kentucky(6/20/2025)
RR
New Hampshire(1/19/2023)
RR
New York(5/24/2022)
IAR
New York(5/24/2022)
RR
North Carolina(7/5/2022)
RR
Oregon(8/26/2024)
RR
Pennsylvania(8/19/2024)
RR
Texas(8/25/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Phone number
(585) 232-3760
Established
New York since 02/11/1937
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory assets under management
| Total Number of Accounts | 7,702 |
| AUM (Assets Under Management) | $ 3,018,502,621 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 01/27/2025 | ||
| 01/02/2024 |
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
SAGE, RUTTY & CO., INC.
CRD#: 3254Rochester, NY 14623TRUST BUT VERIFY
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