Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Allen Jones is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Roger has over 40 years of experience in the securities industry. Roger has been registered with the Securities and Exchange Commission (SEC) since 1981 and has worked for several firms, including MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., LEGG MASON WOOD WALKER, INCORPORATED, and PRUDENTIAL SECURITIES INCORPORATED. Roger holds a Series 3, Series 5, Series 7, Series 31, and Series 63 license. Roger has also completed the Securities Industry Essentials Examination (SIE) and the Uniform Investment Adviser Law Examination (Series 65). Roger is registered as an Investment Advisor Representative in Florida, Virginia, and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
08/23/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPLES FL)
FL
06/01/2009 - 05/26/2011
MORGAN STANLEY SMITH BARNEY (NAPLES FL)
FL
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NAPLES FL)
MD
01/25/1995 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
12/15/1983 - 02/08/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/13/1981 - 12/15/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 04/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 03/23/1990
Series 3 - National Commodity Futures Examination
BC
Issued 11/13/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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