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BETTY JEAN JONES

BETTY J. JONES

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CRD#: 840714
BETTY JEAN 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.

BETTY JEAN JONES, who also goes by Betty Jean Pfeuffer, Betty Jean Pfeuffer, was a registered financial advisor .

BETTY is a previously registered financial advisor and started their career in finance in 1977. BETTY had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 5 exams.

Biography

BJ joined CAPTRUST in 2013. In her role as an advice and wellness wealth advisor within the firms Institutional Services Group, BJ works with retirement plan participants and provides wealth management advice for plan sponsors. She has been in the industry for more than 20 years.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Betty Jean Pfeuffer | Betty Jean Pfeuffer

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 2, 2014 - February 1, 2024

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
RALEIGH, NC
Past

August 13, 2012 - January 7, 2013

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN RAFAEL, CA
Past

April 21, 2006 - August 19, 2010

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHICAGO, IL
Past

July 29, 2005 - January 5, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 18, 2005 - January 5, 2006

LPL FINANCIAL LLC

RIA
CRD#: 6413
NASHVILLE, TN
Past

March 24, 2004 - May 26, 2005

LBMC RETIREMENT PLAN COMPANY, LLC

RIA
CRD#: 111613
BRENTWOOD, TN
Past

August 22, 2002 - November 5, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NASHVILLE, TN
Past

July 29, 2002 - November 5, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 8, 1988 - June 18, 1990

J F LOWE & COMPANY INCORPORATED

BD
CRD#: 11830
Past

February 6, 1987 - July 31, 1987

MCKINLEY ALLSOPP, INC.

BD
CRD#: 13098
Past

May 27, 1986 - January 29, 1987

STEINBERG & LYMAN

BD
CRD#: 15704
Past

September 2, 1980 - February 14, 1985

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 26, 1977 - September 29, 1980

JOHN MUIR & CO.

BD
CRD#: 2837

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/19/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination

Current Firm

CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC

CRD#: 126291 / SEC#: , 8-65870

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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

CAPFINANCIAL SECURITIES, LLC.

Financial Advisor, Advice & WellnessCRD#: 126291

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Contact information

(xxx) xxx-xxxx

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