Sean JonesCRD Number: 5442184
Current Firm: Key Investment Services LLC
Sean Jones (CRD# 5442184) is an Investment Advisor Representative working at Key Investment Services LLC in Bellingham, WA and has over 10 years of experience in the finance industry.
Concert Wealth Management
Financial Plan, Inc.
Wells Fargo Advisors Financial Network, LLC
|Key Investment Services||Mount Vernon, WA||Oct 2016 - Current||1|
|Wells Fargo Advisors LLC||Mount Vernon, WA||Jul 2011 - Oct 2016||5|
|Key Investment Services||Mount Vernon, WA||Apr 2010 - Jul 2011||1|
|Rbc Capital Markets Corporation||Bellingham, WA||Mar 2008 - Mar 2010||2|
|Rbc Dain Rauscher||Bellingham, WA||Oct 2007 - Mar 2008||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2008|
|S66||NASAA Uniform Combined State Law Examination||Feb 2008|
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:
- Customer Dispute
Total Assets Under Management1,744MILLIONS
Total Number of Accounts11,490ACCOUNTS
Average Account Value$151,779
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AZ, CA, CO, CT, FL, GA, HI, ID, IL, IN, KY, MA, MD, ME, MI, NC, NH, NJ, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, VT, WA
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