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JK

Jeffrey A. Kone

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CRD#: 1311670
JK

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.

Jeffrey Alan Kone, who also goes by Jeff Alan Kone, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1984. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Jeff Alan Kone

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

November 18, 2003 - July 30, 2014

WALL STREET RESOURCE, LLC

RIA
CRD#: 129054
SANTA BARBARA, CA
Past

February 4, 1993 - September 18, 1997

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

October 8, 1991 - February 3, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 6, 1991 - September 5, 1991

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

May 1, 1989 - March 9, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 11, 1988 - May 9, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 26, 1984 - February 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
IAR
Series 65
Date: 11/1/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam

Current Firm


WS
WALL STREET RESOURCE, LLC
WALL STREET RESOURCE, LLC

CRD#: 129054 / SEC#:

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Contact information


Main Address
Santa Barbara, CA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents


Latest Form ADV

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.

Company Information


WALL STREET RESOURCE, LLC

CRD#: 129054

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