Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Jones is a registered representative with Hilltop Securities Inc. based in Plano, TX. Stephen has been in the financial services industry since July 1985 and holds Series 4, 7, 9, 10, 30, 63 and 65 licenses. Stephen has experience in various financial services areas and is licensed in 52 states and jurisdictions. Stephen’s previous employers include Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., and E.F. Hutton & Company Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
12/05/2016 - Present
Hilltop Securities Inc. (Plano TX)
NY
12/09/1994 - 08/07/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 12/20/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/23/1985 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 06/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2004
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/24/2003
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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