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Rick Harold Jones

Trek Financial

Lake Havasu City, AZ

Scottsdale, AZ

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Current Employers
Trek Financial

8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2017-08-28
  • AZ RA
    APPROVED
    Since 2017-08-28

Branch Locations

2153 Mcculloch Blvd, Lake Havasu City, AZ 86403 • United States

8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Trek Financial Scottsdale AZ 12/2016 Present
World Equity Group Lake Havasu City AZ 08/2015 12/2016
  • 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-10-02
S63 Uniform Securities Agent State Law Examination 2001-03-03
  • S65 Uniform Investment Adviser Law Examination
    2001-10-02
  • S63 Uniform Securities Agent State Law Examination
    2001-03-03

View on SEC IAPD

Other Firms

PFS INVESTMENTS INC.
EDWARD JONES
OSAIC WEALTH, INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CENTAURUS FINANCIAL, INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC

Other Investors

RICHARD JAY MAST
Richard Earl McKone
STEVEN JOSEPH LACEY
LUIS ALFONSO VILLA ROJAS
KATRINA ELISSA HATTER
DEBORAH ELIZABETH AMES
JOHN ANTHONY VAIL
JENNIFER EILEEN HIGGINS

Other Offices

PFS INVESTMENTS INC. · LAKE HAVASU CITY, AZ
EDWARD JONES · LAKE HAVASU CITY, AZ
OSAIC WEALTH, INC. · Lake Havasu City, AZ
J.P. MORGAN SECURITIES LLC · LAKE HAVASU CITY, AZ
AMERIPRISE FINANCIAL SERVICES, LLC · Lake Havasu City, AZ
CENTAURUS FINANCIAL, INC. · Lake Havasu City, AZ
WELLS FARGO CLEARING SERVICES, LLC · LAKE HAVASU CITY, AZ
EDWARD JONES · LAKE HAVASU CITY, AZ

More in Lake Havasu City, AZ

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