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PHILLIP WAYNE JONES
PHILLIP W JONES
CRD#: 2445213
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
HOUSTON, TX 77002
Registration History
19952000200520102015202020252 FIRMS1994 - Present (31 years)
Disclosure(s)
View By:
12/22/2023
Customer Dispute
Pending
License(s)

State Registrations

B
Arizona 1/25/2018

B
New York 1/3/2018

B
California 3/8/2005

B
North Carolina 2/22/2010

B
Colorado 10/28/2016

B
Oklahoma 8/7/2024

B
Delaware 1/25/2018

B
Oregon 1/25/2018

B
Florida 10/28/2016

B
Pennsylvania 10/28/2016

B
Georgia 10/28/2016

B
South Carolina 8/12/2024

B
Illinois 10/28/2016

B
Tennessee 8/7/2024

B
Kentucky 10/28/2016

B
Texas 2/23/1994

B
Louisiana 1/4/2018

IA
Texas 2/23/1994

B
Maryland 10/28/2016

B
Utah 9/5/2024

B
Mississippi 10/28/2016

B
Vermont 9/3/2024

B
Montana 1/25/2018

B
Virginia 8/7/2024

B
Nebraska 8/6/2024

B
Washington 7/30/1998

B
New Jersey 3/25/2019

B
West Virginia 10/28/2016

B
New Mexico 11/16/2020

B
Wisconsin 9/3/2024

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)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 2/23/1994

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 2/1/1994

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B
Broker
IA
Investment Adviser
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.