Marvin H. 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.
Marvin Hughey Jones was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1977. Marvin had worked at 14 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2008 - July 31, 2009
GIRARD SECURITIES, INC.
August 13, 2008 - September 30, 2008
CETERA WEALTH SERVICES, LLC
January 31, 2005 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
August 6, 2003 - December 31, 2004
NATIONS FINANCIAL GROUP, INC.
May 2, 2003 - August 5, 2003
CHANNEL POINT PARTNERS
March 13, 2002 - April 3, 2002
OSAIC WEALTH, INC.
July 13, 1998 - March 13, 2002
PIM FINANCIAL SERVICES, INC.
November 14, 1997 - April 30, 1998
GATEWAY INVESTMENT SERVICES, INC.
January 30, 1995 - October 10, 1997
PIM FINANCIAL SERVICES, INC.
November 2, 1993 - December 31, 1994
FAS WEALTH MANAGEMENT SERVICES, INC.
December 23, 1983 - March 24, 1994
CREST CAPITAL, INC.
December 15, 1982 - January 9, 1984
FIRST LIBERTY SECURITIES, INC.
February 18, 1982 - January 20, 1983
LPL FINANCIAL LLC
June 9, 1978 - March 23, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
September 7, 1977 - July 9, 1978
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
Series 1
Date: 8/29/1977
Registered Representative ExaminationCurrent Firm
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
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.
