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Detailed Report
JOHN RALEIGH JONES
JOHN JONES
CRD#: 1585643
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 COWBOYS WAY
FRISCO, TX 75034
Registration History
199019952000200520102015202020252 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - Present (15 years)BNATIONSSECURITIES (CRD# 32542)1997 - 1998 (<1 year)BNATIONSBANC CAPITAL MARKETS, INC. (CRD# 26091)1991 - 1996 (5 years)BNCNB SECURITIES, INC. (CRD# 16361)1990 - 1991 (<1 year)BNCNB TEXAS SECURITIES, INC. (CRD# 16882)1987 - 1990 (2 years)BREPUBLICBANK FINANCIAL MARKETS... (CRD# 18040)1987 - 1987 (<1 year)
License(s)

State Registrations

B
Alabama 7/17/2023
B
Missouri 8/26/2011
B
Alaska 2/1/2022
B
Montana 12/4/2019
B
Arizona 8/30/2016
B
Nevada 5/30/2017
B
Arkansas 2/1/2022
B
New Jersey 2/1/2022
B
California 10/23/2009
B
New Mexico 10/23/2009
B
Colorado 10/23/2009
B
New York 2/1/2022
B
Connecticut 9/2/2024
B
North Carolina 9/1/2010
B
Delaware 10/23/2009
B
Ohio 2/2/2022
B
Florida 10/23/2009
B
Oklahoma 2/1/2022
B
Georgia 2/1/2022
B
Pennsylvania 5/30/2017
B
Idaho 2/1/2022
B
South Carolina 8/30/2016
B
Illinois 2/1/2022
B
South Dakota 2/1/2022
B
Indiana 2/1/2022
B
Tennessee 5/7/2018
B
Kansas 2/1/2022
B
Texas 10/23/2009
B
Louisiana 2/1/2022
IA
Texas 10/23/2009
B
Maryland 2/1/2022
B
Virginia 8/19/2011
B
Massachusetts 10/23/2009
B
Washington 2/1/2022
B
Michigan 10/23/2009
B
Wisconsin 6/26/2013
B
Minnesota 8/30/2016
B
Wyoming 2/1/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
 01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
 10/17/1997 - 01/01/1998 NATIONSSECURITIES (CRD#:32542)
B
 01/07/1991 - 05/21/1996 NATIONSBANC CAPITAL MARKETS, INC. (CRD#:26091) NEW YORK, NY
B
 04/02/1990 - 01/10/1991 NCNB SECURITIES, INC. (CRD#:16361) BOSTON, MA
B
 11/06/1987 - 04/02/1990 NCNB TEXAS SECURITIES, INC. (CRD#:16882)
B
 07/28/1987 - 11/06/1987 REPUBLICBANK FINANCIAL MARKETS, INC. (CRD#:18040)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.