Francis A. 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.
Francis Ardyl Jones, who also goes by Frank Jones, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1976. Francis had worked at 12 firms and has passed the Series 63, PC, Series 3 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
December 31, 1997 - July 26, 2013
CROWELL, WEEDON & CO.
June 2, 1994 - July 26, 2013
CROWELL, WEEDON & CO.
September 28, 1990 - March 31, 1994
CROWELL, WEEDON & CO.
January 4, 1988 - October 12, 1990
SUTRO & CO. INCORPORATED
August 19, 1982 - December 24, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
January 29, 1982 - August 6, 1982
FIRST AFFILIATED SECURITIES, INC.
December 12, 1980 - November 9, 1981
STIX & CO., INC.
June 9, 1980 - December 21, 1980
PRUDENTIAL EQUITY GROUP, LLC
July 16, 1979 - November 19, 1983
LEHMAN BROTHERS INC.
January 18, 1978 - July 22, 1980
LOEB PARTNERS
September 29, 1977 - July 16, 1979
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 16, 1977 - December 4, 1977
NORTHROP MUNICIPALS CORP.
June 8, 1976 - February 14, 1977
NORTHROP MUNICIPALS CORP.
March 2, 1976 - August 14, 1976
YOUNG, SMITH & PEACOCK, INC.
February 10, 1976 - October 15, 1980
HANCOCK, JOSEPH & DANIELS, 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
PC
Date: 7/10/1989
AMEX Put and Call ExamCurrent Firm
CROWELL, WEEDON & CO.
CRD#: 193 / SEC#: 801-67246, 8-3710
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMES, RALPH HERBERT | GENERAL PARTNER | 4399 |
| BELLESILES, JACQUES ERNEST | GENERAL PARTNER | 17599 |
| BLAND, DAVID LEE | GENERAL PARTNER | 1099854 |
| CARLSON, RODNEY CHARLES | GENERAL PARTNER | 2285986 |
| CHRISTOPHER, DOUGLAS ANDREA | GENERAL PARTNER | 1995432 |
| COUNCIL, WILLIAM MICHAEL | GENERAL PARTNER | 848504 |
| CRONK, JAMES LEE | GENERAL PARTNER/COO | 1104799 |
| CROWELL, ANDREW EDWARD | GENERAL PARTNER/CEO | 1288101 |
| CROWELL, DONALD WARREN JR | GENERAL PARTNER | 1320520 |
| DOUD, CHARLES OREILLY | GENERAL PARTNER | 70836 |
| DOUD, THOMAS JOSEPH | GENERAL PARTNER | 2758142 |
| DOUGHERTY, JAMES WEAVER | GENERAL PARTNER | 1620921 |
| DOYEL, DENNIS MICHAEL | GENERAL PARTNER | 1789529 |
| FUNG, EDDIE SHU | GENERAL PARTNER | 2622816 |
| GINSBERG, KLINDT EMIL | GENERAL PARTNER | 1846752 |
| GRIFFIN, ALAN MILES | GENERAL PARTNER | 853835 |
| GROSSMAN, ALAN JAY | GENERAL PARTNER | 1225441 |
| HALES, JOHN MORRIS | GENERAL PARTNER | 233868 |
| HARRIS, ROBERT CARROLL | GENERAL PARTNER | 1083781 |
| HASSAN, ROBERT HARRIS | GENERAL PARTNER | 833059 |
| HOOD, THOMAS JAMES | GENERAL PARTNER | 1297995 |
| JACKSON, STEVEN CHARLES | GENERAL PARTNER | 1358825 |
| KARANTONIS, ANTONIOS | GENERAL PARTNER / CFO | 2331154 |
| KRUGER, JAMES ROY | GENERAL PARTNER/CHIEF COMPLIANCE OFFICER | 1171805 |
| KURATOMI, LINDA KEIKO | GENERAL PARTNER | 1258198 |
| MORITZ, THOMAS ANDREW | GENERAL PARTNER | 1864800 |
| MULLIGAN, STEVEN JAMES | GENERAL PARTNER | 2372962 |
| OLEARY, JOSEPH LENNON | GENERAL PARTNER | 2357537 |
| PAULSON, THEODORE RUSSELL | GENERAL PARTNER | 358333 |
| RAGAN, JAMES DARRELL | GENERAL PARTNER | 1513433 |
| REITNOUER, JOHN FREDERICK | GENERAL PARTNER | 1796658 |
| REITNOUER, LYNN PAUL | GENERAL PARTNER | 373927 |
| ROBBINS, KENNETH WILLIAM | GENERAL PARTNER | 2588039 |
| SWANSON, SCOTT MICHAEL | GENERAL PARTNER | 2198688 |
| THOMAS, DANIEL SCOTT | GENERAL PARTNER | 2195656 |
| TODD, BLAKE TRAMILL | GENERAL PARTNER | 702561 |
| WEST, THOMAS WESLEY | GENERAL PARTNER | 1162385 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 9 |
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.
