Brian Jones: FINRA Files Action Against Pilot Grove Advisor

Mt. Pleasant, Iowa financial advisor Brian Jones (CRD# 4203098) improperly participated in private securities transactions, according to a pending disciplinary action against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Pilot Grove Investment Services.

Mr. Jones’ BrokerCheck report discloses the pending FINRA disciplinary action against him. Filed in February 2024, it alleges that as a representative of Cambridge Investment Research, he participated in two private securities transactions without providing prior written notice to his member firm. The action remains pending.

Pilot Grove Investment Services’ website includes a profile of Mr. Jones. “His experience incorporates a variety of knowledge that includes equity research, portfolio management, fixed income credit analysis, investment accounting, corporate finance, private capital, and merger and acquisitions,” it states. The profile goes on to quote him: “I look forward to helping clients understand how their financial goals can be achieved through the development of a well thought financial plan that incorporates risk management, tax, retirement and estate planning as part of the process.”

According to the Financial Industry Regulatory Authority, Brian Jones holds 20 years of securities industry experience. Based in Mt. Pleasant, Iowa, he has been a broker and an investment advisor with Cambridge Investment Research since 2018. His past registrations include Investment Advisors Corporation (Mt. Pleasant, Iowa; 2015-2018), Broker Dealer Financial Services (Mt. Pleasant, Iowa; 2011-2018), LWBJ Investment Services (West Des Moines, Iowa; 2010-2011), First National Capital Markets (Des Moines, Iowa; 2007-2009), Cybus Capital Markets (Roseville, California; 2006-2007); Amcore Investment Services (Rockford, Illinois; 2000-2005), American Express Financial Advisors (Minneapolis, Minnesota; 2000), and IDS Life Insurance Company (Minneapolis, Minnesota; 2000). His credentials include the passage of seven securities industry qualifying exams: the Introducing Broker/Dealer Financial Operations Principal Examination, or Series 28; the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the Operations Professional Examination, or Series 99TO; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Florida, Illinois, Iowa, Minnesota, Missouri, Nebraska, South Dakota, Texas, and Wisconsin. (Information current as of March 8, 2024.)

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