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Detailed Report
BRIAN DOUGLAS JONES
BRIAN JONES
CRD#: 3220646
IA
Investment Adviser
B
Broker
BNY MELLON SECURITIES CORPORATIONCRD#: 231 PASADENA, CA
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2002 (3 years)2 FIRMS2006 - 2010 (3 years)2 FIRMS2010 - Present (14 years)BCMC FINANCIAL SERVICES, INC. (CRD# 127136)2005 - 2006 (<1 year)BCNL SECURITIES CORP. (CRD# 10356)2002 - 2004 (2 years)IAINVESCO ADVISERS, INC. (CRD# 105360)2010 - 2010 (<1 year)IAAIM PRIVATE ASSET MANAGEMENT (CRD# 109264)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 8/20/2021
B
Missouri 8/20/2021
B
Alaska 8/20/2021
B
Montana 8/20/2021
B
Arizona 8/20/2021
B
Nebraska 8/20/2021
B
Arkansas 8/20/2021
B
Nevada 8/20/2021
B
California 10/8/2010
IA
Nevada 9/18/2024
IA
California 10/12/2010
B
New Hampshire 8/20/2021
B
Colorado 8/20/2021
B
New Jersey 8/20/2021
B
Connecticut 8/20/2021
B
New Mexico 8/20/2021
B
Delaware 8/20/2021
B
New York 8/20/2021
B
District of Columbia 8/20/2021
B
North Carolina 8/20/2021
B
Florida 8/20/2021
B
North Dakota 8/20/2021
B
Georgia 8/20/2021
B
Ohio 8/20/2021
B
Hawaii 10/11/2010
B
Oklahoma 8/20/2021
IA
Hawaii 10/12/2010
B
Oregon 8/20/2021
B
Idaho 8/20/2021
B
Pennsylvania 8/20/2021
B
Illinois 8/20/2021
B
Rhode Island 8/20/2021
B
Indiana 8/20/2021
B
South Carolina 8/20/2021
B
Iowa 8/20/2021
B
South Dakota 8/20/2021
B
Kansas 8/20/2021
B
Tennessee 8/20/2021
B
Kentucky 8/20/2021
B
Texas 8/20/2021
B
Louisiana 8/20/2021
B
Utah 8/20/2021
B
Maine 8/20/2021
B
Vermont 8/20/2021
B
Maryland 8/20/2021
B
Virginia 8/20/2021
B
Massachusetts 8/20/2021
B
Washington 8/20/2021
B
Michigan 8/20/2021
B
West Virginia 8/20/2021
B
Minnesota 8/20/2021
B
Wisconsin 8/20/2021
B
Mississippi 8/20/2021
B
Wyoming 8/20/2021

SRO Registrations

B
 FINRA

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
BNY MELLON SECURITIES CORPORATION (CRD#:231)
PASADENA, CA
Registered with this firm since 10/12/2010
B
BNY MELLON SECURITIES CORPORATION (CRD#:231)
PASADENA, CA
Registered with this firm since 10/8/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2010 - 10/11/2010 INVESCO ADVISERS, INC. (CRD#:105360) ATLANTA, GA
B
 11/24/2006 - 10/11/2010 INVESCO DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
IA
 12/05/2006 - 01/01/2010 INVESCO AIM PRIVATE ASSET MANAGEMENT, INC. (CRD#:109264) HOUSTON, TX
IA
 11/27/2006 - 12/01/2006 AIM PRIVATE ASSET MANAGEMENT (CRD#:109264) HOUSTON, TX
B
 11/21/2005 - 10/26/2006 CMC FINANCIAL SERVICES, INC. (CRD#:127136) HENDERSON, NV
B
 11/13/2002 - 12/01/2004 CNL SECURITIES CORP. (CRD#:10356) ORLANDO, FL
IA
 12/15/1999 - 11/06/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) NEW YORK, NY
B
 08/12/1999 - 11/06/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.