Carl E. 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.
Carl Edwin Jones was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1983. Carl had worked at 21 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - June 8, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 18, 2013 - July 25, 2013
J.P. MORGAN SECURITIES LLC
January 16, 2013 - July 25, 2013
J.P. MORGAN SECURITIES LLC
August 23, 2012 - December 31, 2012
BFC PLANNING, INC.
July 11, 2012 - December 31, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 13, 2012 - June 26, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
January 13, 2012 - June 26, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
August 16, 2011 - January 10, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 21, 2011 - January 10, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 14, 2011 - July 11, 2011
CHASE INVESTMENT SERVICES CORP.
December 22, 2010 - July 11, 2011
CHASE INVESTMENT SERVICES CORP.
August 27, 1998 - December 22, 2010
MILKIE/FERGUSON INVESTMENTS, INC.
May 11, 1998 - July 30, 1998
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1995 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
June 27, 1994 - October 14, 1994
VINING-SPARKS IBG, LLC
May 4, 1993 - June 3, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
April 6, 1993 - April 12, 1993
LIBERTY CAPITAL MARKETS, INC.
October 3, 1992 - March 9, 1993
HILLTOP SECURITIES INC.
November 20, 1991 - September 24, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 27, 1990 - March 5, 1991
GRAND FINANCIAL, INC.
December 7, 1989 - January 29, 1990
VINING-SPARKS SECURITIES, INC.
March 27, 1989 - August 24, 1989
ROBERT THOMAS SECURITIES, INC
September 22, 1988 - October 15, 1988
ALLISON, ROSENBLUM & HANNAHS, INC.
October 16, 1987 - September 27, 1988
UNITED CAPITAL CORPORATION
June 19, 1985 - August 14, 1986
STEPHENS
May 12, 1983 - June 14, 1985
UNITED CAPITAL CORPORATION
March 1, 1983 - May 26, 1983
DANNY THOMAS INVESTMENTS, INC.
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
Series 5
Date: 11/15/1983
Interest Rate Options ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
