David B. 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 Brent Jones was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 15 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2012 - December 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 16, 2011 - August 23, 2012
P.J. ROBB VARIABLE, LLC
June 17, 2009 - October 6, 2010
HORNOR, TOWNSEND & KENT, LLC
May 16, 2008 - June 2, 2009
NEXCORE CAPITAL, INC.
January 15, 2007 - February 27, 2008
WORLD GROUP SECURITIES, INC.
January 2, 2004 - December 31, 2004
THE LEADERS GROUP, INC.
February 5, 2003 - December 31, 2003
INTERLINK SECURITIES CORP.
June 21, 2002 - August 14, 2002
WATERSTONE FINANCIAL GROUP, INC.
May 31, 2001 - December 31, 2001
OAK BROOK SECURITIES CORP.
July 27, 1999 - June 5, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 19, 1994 - April 21, 1999
WMA SECURITIES, INC.
July 21, 1993 - August 2, 1994
CUE FINANCIAL GROUP, INC.
March 19, 1993 - July 2, 1993
CUE FINANCIAL GROUP, INC.
July 18, 1990 - March 19, 1993
OAK BROOK SECURITIES CORP.
June 22, 1989 - December 31, 1989
CAPITAL FINANCIAL SERVICES, INC.
February 28, 1989 - April 3, 1989
CETERA WEALTH SERVICES, LLC
April 8, 1988 - February 23, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, 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
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.
