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Andrew Isaac Jones
ANDREW JONES
CRD#: 6303756
IA
B
CAPITAL CLIENT GROUP, INC.CRD#: 6247 12711 N. MERIDIAN STREET
CARMEL, IN 46032
CARMEL, IN 46032
0
Disclosures
9
Years of Experience
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State Registrations
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Illinois 11/25/2024
B
North Dakota 1/3/2025
B
Indiana 11/25/2024
B
South Dakota 1/3/2025
IA
Indiana 12/2/2024
B
Wisconsin 1/3/2025
B
Minnesota 1/3/2025
SRO Registrations
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IA
Registered with this firm since 12/2/2024
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Registered with this firm since 11/25/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/26/2016 - 07/10/2023 | Menomonee Falls, WI | |
B | 08/03/2016 - 07/10/2023 | MENOMONEE FALLS, WI | |
IA | 02/10/2015 - 07/28/2016 | ST. LOUIS, MO | |
B | 02/10/2015 - 07/28/2016 | ST. LOUIS, MO | |
IA | 08/21/2014 - 11/18/2014 | ST LOUIS, MO | |
B | 08/21/2014 - 11/18/2014 | ST LOUIS, MO | |
B | 04/14/2014 - 06/10/2014 | ST LOUIS, MO |
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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.