Robert N. 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.
Robert N Jones, who also goes by Robert Nuttall Jones, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 10 firms and has passed the Series 63, Series 65, Series 7, Series 82 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - July 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2011 - July 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2009 - May 6, 2010
EDWARD JONES
October 15, 2009 - May 6, 2010
EDWARD JONES
March 31, 2009 - September 2, 2009
THE PATTERSON CAPITAL CORPORATION
August 29, 2006 - May 8, 2007
FORESIDE FUND SERVICES, LLC
July 29, 1992 - July 17, 1998
MORGAN STANLEY DW INC.
May 6, 1991 - June 25, 1992
LIBERTY CAPITAL MARKETS, INC.
January 16, 1989 - July 19, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1982 - February 7, 1989
LEHMAN BROTHERS INC.
January 31, 1980 - September 13, 1982
UBS FINANCIAL SERVICES INC.
September 27, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 15
Date: 11/2/1983
Foreign Currency Options ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
