David A. Jones
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Allan Jones was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2011 - May 3, 2012
NATIONWIDE SECURITIES, LLC
July 12, 2011 - May 3, 2012
NATIONWIDE SECURITIES, LLC
May 8, 2008 - May 3, 2011
MML INVESTORS SERVICES, LLC
April 28, 2008 - May 3, 2011
MML INVESTORS SERVICES, LLC
May 1, 2006 - December 3, 2007
1717 CAPITAL MANAGEMENT COMPANY
December 15, 2005 - December 3, 2007
1717 CAPITAL MANAGEMENT COMPANY
June 9, 2005 - December 31, 2005
OSAIC FS, INC.
October 12, 2004 - December 31, 2005
OSAIC FS, INC.
August 26, 2004 - September 17, 2004
ONEAMERICA SECURITIES, INC.
June 26, 2000 - July 16, 2004
FORESTERS EQUITY SERVICES, INC.
August 6, 1998 - May 16, 2000
PRUCO SECURITIES, LLC.
July 1, 1987 - July 21, 1998
NYLIFE SECURITIES LLC
July 3, 1986 - October 27, 1986
CONSECO FINANCIAL SERVICES, INC.
November 19, 1985 - July 15, 1987
AMERITAS INVESTMENT COMPANY, LLC
July 5, 1985 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
