ROBERT GAMBRELL JONES is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1 LAKESHORE DR STE 1500, LAKE CHARLES, LA, 70629.
ROBERT GAMBRELL JONES has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
ROBERT GAMBRELL JONES has 1 Disclosure Event(s).
Date: April 30, 1984 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Allegations: NOT PROVIDED Resolution: Consent SanctionDetails: Sanctions: Suspension Sanction Details: SUSPENDED FROM ASSOCIATION WITH ANY BROKER OR DEALER IN A SUPERVISORY CAPACITY FOR A PERIOD OF 120 DAYS, AND AT THE EXPIRATION OF THE PERIOD OF SUSPENSION, MUST FILE AN AFFIDAVIT WITH THE FORT WORTH REGIONAL OFFICE AVERRING THAT HE HAS COMPLIED WITH THE TERMS OF THE SUSPENSION. FURTHER, THAT AFTER THE EXPIRATION OF THE 120-DAY PERIOD, JONES MAY RE-ASSOCIATE IN A SUPERVISORY CAPACITY ON THE CONDITION THAT HE HAS: A) TAKEN AND RECEIVED A PASSING GRADE ON THE GENERAL SECURITIES PRINCIPAL EXAM (SERIES 24) ADMINISTERED BY THE N.A.S.D.; B) TAKEN AND RECEIVED A PASSING GRADE ON THE REGISTERED OPTIONS PRINCIPAL EXAM (SERIES 4)ADMINISTERED BY THE N.A.S.D.; AND C) FILED WITH THE FORT WORTH REGIONAL OFFICE AN AFFIDAVIT AVERRING THEREIN THAT HE HAS TAKEN AND PASSED THE EXAMINATIONS SPECIFIED IN (A) AND (B).
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