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KATHRYN RHEA JONES
KATHY JONES, Kathryn R Jones
CRD#: 3163515
IA
B
NORTHERN TRUST SECURITIES, INCCRD#: 7927 4001 Tamiami Trail North
NAPLES, FL 34103
NAPLES, FL 34103
0
Disclosures
21
Years of Experience
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State Registrations
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Alabama 10/23/2023
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Missouri 10/23/2023
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Arizona 10/23/2023
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Nebraska 4/10/2024
B
California 10/23/2023
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Nevada 10/23/2023
B
Colorado 10/23/2023
B
New Hampshire 11/12/2024
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Connecticut 10/23/2023
B
New Jersey 10/23/2023
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District of Columbia 10/23/2023
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New Mexico 10/23/2023
B
Florida 10/23/2023
B
New York 10/23/2023
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Florida 10/30/2023
B
North Carolina 10/23/2023
B
Georgia 10/23/2023
B
Ohio 10/23/2023
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Illinois 10/23/2023
B
Oregon 10/23/2023
B
Indiana 10/23/2023
B
Pennsylvania 10/23/2023
B
Iowa 2/7/2024
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Rhode Island 10/23/2023
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Kansas 1/2/2025
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South Carolina 10/23/2023
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Kentucky 10/23/2023
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Tennessee 10/23/2023
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Louisiana 10/23/2023
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Texas 10/23/2023
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Maine 10/23/2023
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Utah 10/23/2023
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Maryland 10/23/2023
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Vermont 2/8/2024
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Massachusetts 10/23/2023
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Virginia 10/23/2023
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Michigan 10/23/2023
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Washington 10/23/2023
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Minnesota 10/23/2023
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Wisconsin 10/23/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 10/30/2023
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Registered with this firm since 10/23/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/06/2022 - 01/05/2023 | NAPLES, FL | |
B | 03/08/2022 - 12/05/2022 | NAPLES, FL | |
IA | 07/14/2016 - 02/14/2022 | New York City, NY | |
B | 07/14/2016 - 02/14/2022 | New York City, NY | |
IA | 01/09/2013 - 06/23/2016 | LATHAM, NY | |
B | 12/12/2012 - 06/23/2016 | LATHAM, NY | |
B | 01/08/2007 - 07/10/2012 | NEW YORK, NY | |
B | 01/08/2007 - 07/09/2007 | NEW YORK, NY | |
IA | 03/22/2005 - 04/27/2005 | JERSEY CITY, NJ | |
B | 07/16/2004 - 04/27/2005 | JERSEY CITY, NJ | |
B | 11/20/2002 - 12/31/2003 | BIRMINGHAM, AL | |
B | 04/24/2002 - 08/16/2002 | EL SEGUNDO, CA | |
B | 06/01/2001 - 10/29/2001 | BOSTON, MA | |
B | 09/18/2000 - 06/21/2001 | SMITHFIELD, RI | |
B | 01/27/1999 - 08/25/2000 | 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.