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BUCK KARTHEVAL JONES
Buck Jones
CRD#: 6138651
IA
B
LPL FINANCIAL LLCCRD#: 6413 1317 EXECUTIVE BLVD STE 110
CHESAPEAKE, VA 23320
CHESAPEAKE, VA 23320
View By:
4/12/2024
Customer Dispute
Closed-No Action
State Registrations
B
Florida 9/30/2024
B
Virginia 9/30/2024
B
North Carolina 9/30/2024
IA
Virginia 9/30/2024
SRO Registrations
B
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IA
Registered with this firm since 9/30/2024
B
Registered with this firm since 9/30/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/19/2020 - 10/01/2024 | VIRGINIA BEACH, VA | |
B | 05/31/2018 - 10/01/2024 | VIRGINIA BEACH, VA | |
B | 11/02/2013 - 06/06/2018 | Virginia Bch, VA |
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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.