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TJ

Timothy Patrick Jones

CRD# 848544·Registered 1978 - 1998
Previously Registered: Being a previously registered professional could mean that Timothy 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.

Professional Summary

Timothy Patrick Jones was a registered financial advisor. Timothy was a previously registered financial professional and started their career in finance 1978 - 1998. Timothy had worked at 10 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

48 years in the financial services industry

Current & Past Employments

RETIREMENT INVESTMENT GROUP·CRD# 7421
BD
Houston, TX
February 24, 1993 - December 31, 1998
GMS GROUP·CRD# 8000
BD
East Hanover, NJ
February 4, 1992 - February 17, 1993
RETIREMENT INVESTMENT GROUP·CRD# 7421
BD
Houston, TX
October 29, 1990 - February 10, 1992
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
BD
Red Bank, NJ
January 23, 1989 - December 14, 1989
PLANVEST CAPITAL CORPORATION·CRD# 14849
BD
September 3, 1986 - January 19, 1987
PILOT FINANCIAL SERVICES, INC.·CRD# 7838
BD
October 18, 1984 - September 25, 1986
MABON, NUGENT & CO.·CRD# 2617
BD
April 22, 1982 - May 20, 1982
JOHN MUIR & CO.·CRD# 2837
BD
February 6, 1981 - October 20, 1981
ROTAN MOSLE INC.·CRD# 727
BD
February 28, 1979 - August 9, 1983
CIBC WORLD MARKETS CORP.·CRD# 630
BD
September 12, 1978 - March 21, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
February 1, 1978 - September 22, 1978

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Current Firm

RI
RETIREMENT INVESTMENT GROUP

HOUSTON INVESTMENT GROUP | RETIREMENT INVESTMENT GROUP | PAYNE & THORNTON, INC.

CRD#: 7421 / SEC#: 8-23050
BD
Revoked by SEC on 02/01/1999

Contact Information

Established

Texas since 08/24/1977

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1979About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1978About the Series 7 exam

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CRS (Client Relationship Summary)

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

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TJ
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