Individual Firm
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JOSEPH SHARPHAM JONES IV
JOE JONES
CRD#: 2037546
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 309 S.E. OSCEOLA STREET
SUITE 300
STUART, FL 34994
SUITE 300
STUART, FL 34994
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5/4/2004
Customer Dispute
Settled
11/6/2003
Customer Dispute
Settled
5/27/2003
Customer Dispute
Settled
10/31/2002
Customer Dispute
Denied
3/1/2002
Customer Dispute
Denied
1/2/2002
Customer Dispute
Closed-No Action
12/27/2001
Customer Dispute
Denied
7/31/2001
Customer Dispute
Denied
State Registrations
B
Arizona 7/5/2013
B
Massachusetts 6/13/2016
B
Florida 4/2/2012
B
Michigan 3/29/2012
IA
Florida 4/2/2012
B
New Jersey 3/29/2012
B
Georgia 10/5/2017
B
New York 4/11/2016
B
Illinois 3/29/2012
B
South Carolina 4/3/2012
B
Maine 8/17/2012
B
Virginia 5/1/2018
B
Maryland 4/3/2012
SRO Registrations
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/2/2012
B
Registered with this firm since 3/29/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/22/2009 - 04/10/2012 | STUART, FL | |
B | 06/01/2009 - 04/10/2012 | STUART, FL | |
IA | 07/31/1993 - 06/15/2009 | STUART, FL | |
B | 07/31/1993 - 06/01/2009 | STUART, FL | |
B | 03/20/1990 - 07/31/1993 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.