Rebecca J. Jones

STRAIGHT FORWARD WEALTH MANAGEMENT

ROCHESTER, NH 03867

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CRD#: 7677956

Professional summary

Rebecca Jane Jones is a registered financial advisor currently at STRAIGHT FORWARD WEALTH MANAGEMENT, LLC located in Rochester, New Hampshire and LPL FINANCIAL LLC located in Rochester, New Hampshire.

Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Rebecca has worked at 2 firms 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.

1)12/2022 - Straight Forward Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 12/2022 - 180 Hr/Mth 2)12/2022 - LPL Financial LLC - Investment Related - At Reported Business Location(s) - Investment Advisor Representative/Registered Representative - Start Date 04/2023 - Hours are the same as Item 1 in this entry field - this is for the purposes of transitioning clients. 3) 06/08/2023 - Straight Forward Life & Annuity, LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date 06/2023 - 12 Hours Per Month/ 4 Hours During Securities Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Jane 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®

None

Experience

Current

June 19, 2024 - Present

STRAIGHT FORWARD WEALTH MANAGEMENT, LLC

Office #1: 60 Rochester Hill Road Ste 1, Rochester, NH 03867

RIA

CRD#: 329055

ROCHESTER, NH

Current

April 19, 2023 - Present

LPL FINANCIAL LLC

Office #1: 60 Rochester Hill Road, Rochester, NH 03867

RIA

CRD#: 6413

Rochester, NH

Past

June 1, 2023 - December 3, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCHESTER, NH

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.

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

Maine
(6/6/2023)

IAR

Maine
(8/16/2024)

Massachusetts
(10/2/2023)

New Hampshire
(6/1/2023)

IAR

New Hampshire
(6/19/2024)

Rhode Island
(10/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/31/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/19/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/3/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

STRAIGHT FORWARD WEALTH MANAGEMENT, LLC

CRD#: 329055 / SEC#:

Florida

Registered Investment Advisory firm - (7/8/2024 Approved)

Maine

Registered Investment Advisory firm - (8/16/2024 Approved)

New Hampshire

Registered Investment Advisory firm - (6/19/2024 Approved)

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Contact information

Main Address

60 Rochester Hill Road Ste 1, Rochester, NH 03867

Mailing Address

Phone number

(603) 994-4569

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 33,336,163

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.

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Rebecca J. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Jane Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRAIGHT FORWARD WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2023

Series 7TO

Date: 4/19/2023

SIE

Date: 3/3/2023

FINRA

Current Firm

STRAIGHT FORWARD WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRAIGHT FORWARD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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