Jay C. 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.
Jay Carroll Jones was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1985. Jay had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2016 - April 12, 2018
ALLSTATE FINANCIAL SERVICES, LLC
March 1, 2013 - December 12, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
March 1, 2013 - December 28, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
April 18, 2011 - December 12, 2012
ORION PORTFOLIO SOLUTIONS, LLC
April 18, 2011 - December 12, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 2, 2007 - February 10, 2010
KBR CAPITAL MARKETS, LLC
June 28, 2006 - July 12, 2007
GCC-PROSPECT CORPORATION
March 15, 2004 - March 27, 2006
PRINCIPAL FUNDS DISTRIBUTOR, INC.
July 8, 2003 - March 5, 2004
NEW ENGLAND SECURITIES
March 28, 2003 - March 5, 2004
NEW ENGLAND SECURITIES
May 16, 2002 - March 19, 2003
METROPOLITAN LIFE INSURANCE COMPANY
May 16, 2002 - March 19, 2003
MSI FINANCIAL SERVICES, INC.
August 17, 1985 - May 28, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
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.
