Individual Firm
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HILLMAN ZELL JONES
ROCKY JONES, ZELL JONES
CRD#: 2740414
IA
B
STEPHENSCRD#: 3496 3100 MARKET STREET
ROGERS, AR 72758
ROGERS, AR 72758
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3/13/2013
Customer Dispute
Settled
State Registrations
B
Arizona 4/4/2013
B
Minnesota 8/22/2017
B
Arkansas 4/4/2013
B
Mississippi 8/22/2017
IA
Arkansas 4/4/2013
B
Missouri 4/4/2013
B
California 4/4/2013
B
Montana 3/2/2018
B
Colorado 4/4/2013
B
Nevada 4/4/2013
B
Connecticut 8/22/2017
B
New Jersey 5/6/2013
B
Delaware 8/28/2017
B
North Carolina 4/4/2013
B
District of Columbia 4/10/2019
B
Ohio 10/20/2014
B
Florida 4/4/2013
B
Oklahoma 10/16/2013
B
Georgia 4/4/2013
B
Pennsylvania 5/5/2023
B
Illinois 8/30/2017
B
South Carolina 4/4/2013
B
Indiana 8/23/2017
B
South Dakota 8/29/2016
B
Iowa 8/22/2017
B
Tennessee 12/16/2015
B
Kansas 1/27/2014
B
Texas 4/4/2013
B
Kentucky 8/22/2017
IA
Texas 8/25/2017
B
Louisiana 8/22/2017
B
Virginia 10/31/2019
B
Maryland 8/22/2017
B
Washington 5/22/2013
B
Massachusetts 6/28/2017
B
Wisconsin 8/24/2017
B
Michigan 1/3/2014
B
Wyoming 8/24/2017
SRO Registrations
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/06/2011 - 04/30/2013 | ROGERS, AR | |
B | 01/06/2011 - 04/30/2013 | ROGERS, AR | |
IA | 04/03/2006 - 10/18/2010 | ROGERS, AR | |
B | 04/03/2006 - 10/18/2010 | ROGERS, AR | |
IA | 01/22/2003 - 04/04/2006 | ROGERS, AR | |
B | 12/19/2002 - 04/04/2006 | ROGERS, AR | |
IA | 02/15/2006 - 03/08/2006 | ROGERS, AR | |
B | 02/15/2006 - 03/08/2006 | ROGERS, AR | |
IA | 02/28/2000 - 12/19/2002 | ROGERS, AR | |
B | 06/25/1999 - 12/19/2002 | ROGERS, AR | |
B | 05/21/1996 - 06/14/1999 | DALLAS, TX |
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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.