Kathleen Jones, financial advisor Lenoir NC
69 score

Kathleen Jones

CRD Number: 5278576
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kathleen Jones (CRD# 5278576) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Lenoir, NC and has over 9 years of experience in the finance industry.

Similar Advisors
Jonathan Allen, financial advisor Lenoir NC
Jonathan C. Allen
CRD# 4752027
Allen Wealth Management, LLC
Score
96
Similar Advisors
James Faw, financial advisor Lenoir NC
James C. Faw
CRD# 4463485
Concorde Financial Resources, LLC
Score
96
Similar Advisors
William Haugen, financial advisor Lenoir NC
William D. Haugen
CRD# 239850
Wells Fargo Advisors, LLC
Score
96
Company Name Location Dates Years
Bank Of America, N.a. Lenoir, NC Jun 2015 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lenoir, NC Apr 2015 - Current 1
Wells Fargo Advisors LLC Hickory, NC May 2009 - Apr 2015 5
Wachovia Bank, N.a. Greenville, SC Jan 2007 - Apr 2015 8
Wachovia Securities, LLC Greenville, SC Feb 2007 - May 2009 2
Foothills Real Estate, Inc. Connelly Springs, NC Sep 2004 - Jan 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2007
S65 NASAA Investment Advisors Law Examination Jul 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Kathleen P. Jones
Phone Number: 800-637-7455
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
69

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.