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ALICIA KAY RICHARDSON-JONES
ALICIA KAY JONES, ALICIA KAY RICHARDSON, ALICIA KAY RICHARDSON JONES, ALICIA KAY RICHARDSON JONES
CRD#: 4668580
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 16000 CRAIN HWY
BRANDYWINE, MD 20613
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2010 - 2011 (<1 year)BING FINANCIAL ADVISERS, LLC (CRD# 34815)2004 - 2010 (6 years)BHARTFORD EQUITY SALES COMPANY INC. (CRD# 6604)2003 - 2004 (<1 year)
Disclosure(s)
View By:
11/4/2014
Judgment / Lien
1/15/2012
Judgment / Lien
License(s)

State Registrations

B
District of Columbia 9/20/2012

IA
Maryland 9/28/2012

B
Maryland 9/20/2012

B
Virginia 10/23/2012

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

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
WELLS FARGO ADVISORS (CRD#:19616)
16000 CRAIN HWY, BRANDYWINE, MD 20613
Registered with this firm since 9/28/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
16000 CRAIN HWY, BRANDYWINE, MD 20613
Registered with this firm since 9/14/2012

Previous Registration(s)
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IA
08/12/2011 - 06/04/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ALEXANDRIA, VA
B
08/12/2011 - 06/04/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ALEXANDRIA, VA
B
11/24/2010 - 05/05/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ALEXANDRIA, VA
B
07/20/2004 - 08/06/2010 ING FINANCIAL ADVISERS, LLC (CRD#:34815) GREENBELT, MD
B
07/15/2003 - 06/30/2004 HARTFORD EQUITY SALES COMPANY INC. (CRD#:6604) HARTFORD, CT
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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.