Rick Harold Jones

Employer firm

Trek Financial CRD 109376

$2.82B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• CONSULTING

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2016 → Present
  Trek Financial
  Scottsdale, AZ
• 08/2015 → 12/2016
  World Equity Group
  Lake Havasu City, AZ

Previous Registrations

• 2015-08-05 → 2016-12-16
  World Equity Group, Inc.
  Lake Havasu, AZ
  Schaumburg, IL
  Lake Havasu, AZ
• 2005-06-01 → 2015-08-06
  Equitable Advisors, Llc
  Lake Havasu City, AZ
  Lake Havasu City, AZ
  Lake Havasu City, AZ
• 2003-12-02 → 2005-06-01
  Mony Securities Corporation
  Lake Havasu City, AZ
• 2001-10-11 → 2003-12-02
  Trusted Securities Advisors Corp.
  Lake Havasu City, AZ

Other Businesses

LICENSED INSURANCE AGENT - LIFE AND HEALTH

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-10-02
• S63 Uniform Securities Agent State Law Examination
  2001-03-03