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Tricia W Jones

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fort Mitchell, KY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-08-30
TX RA APPROVED 2023-08-21
  • KY RA
    APPROVED
    Since 2023-08-30
  • TX RA
    APPROVED
    Since 2023-08-21

Branch Locations

300 Buttermilk Pike, Fort Mitchell, KY 41017 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lakeside Park KY 09/2022 Present
Wells Fargo Advisors Cincinnati OH 08/2017 09/2022
Morgan Stanley Cincinnati OH 03/2016 08/2017
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-17
  • S66 Uniform Combined State Law Examination
    2023-08-17
Other Names
  • Tricia Allyson Wells
  • Tricia Wells Jones
  • Tricia Jones

View on SEC IAPD

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Other Offices

PNC WEALTH MANAGEMENT LLC · FORT MITCHELL, KY
STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mitchell, KY
AMERIPRISE FINANCIAL SERVICES, LLC · Fort Mitchell, KY
OSAIC WEALTH, INC. · Fort Mitchell, KY
OSAIC WEALTH, INC. · FORT MITCHELL, KY
VALMARK ADVISERS, INC. · FORT MITCHELL, KY
OSAIC WEALTH, INC. · FORT MITCHELL, KY
HORAN WEALTH, LLC · Fort Mitchell, KY

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