David L. 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 Leroy Jones was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 15 firms and has passed the Series 63, SIE, Series 6 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
June 27, 2022 - June 2, 2023
CADARET, GRANT & CO., INC.
November 6, 2020 - June 16, 2022
SECURITIES AMERICA, INC.
October 22, 2019 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
January 10, 2013 - October 22, 2019
PARKLAND SECURITIES, LLC
March 4, 2009 - January 10, 2013
SIGNATOR FINANCIAL SERVICES, INC.
July 13, 2007 - February 25, 2009
PACIFIC WEST SECURITIES, INC.
December 30, 2000 - July 5, 2007
MMC SECURITIES LLC
June 22, 1999 - December 30, 2000
MARSH & MCLENNAN SECURITIES CORPORATION
July 25, 1994 - June 22, 1999
SEDGWICK INVESTMENTS, INC.
February 25, 1993 - January 6, 1995
UNUM SALES CORPORATION
January 6, 1993 - February 17, 1993
PACIFIC HARBOR SECURITIES, INC.
October 30, 1992 - January 6, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 30, 1992 - January 6, 1993
OSAIC FA, INC.
June 26, 1989 - November 4, 1992
F & G SECURITIES, INC.
May 3, 1988 - June 2, 1989
OSAIC FS, INC.
September 11, 1986 - November 4, 1992
F & G SECURITIES, 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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
