Malcolm L. 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.
Malcolm Lewis Jones JR was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1974. Malcolm had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2019 - November 16, 2022
NORTH SOUTH CAPITAL, LLC
November 14, 2016 - September 13, 2018
TRIBAL CAPITAL MARKETS, LLC
June 11, 2010 - October 1, 2011
EQUUS FINANCIAL CONSULTING LLC
November 7, 2007 - July 9, 2008
NEWOAK CAPITAL MARKETS LLC
June 20, 2005 - December 1, 2005
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 15, 1997 - July 10, 2002
COREBRIDGE CAPITAL SERVICES, INC.
October 9, 1995 - July 15, 1997
SUNAMERICA SECURITIES, INC.
January 20, 1992 - January 16, 1995
KIDDER, PEABODY & CO. INCORPORATED
February 6, 1989 - March 5, 1990
BANCAMERICA SECURITIES, INC.
November 20, 1974 - February 2, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 1 |
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.
