Nancy Johnson 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.
Nancy Johnson Jones, who also goes by Nancy Jean Johnson, Nancy Johnson, Nancy J Johnson Jones, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1990. Nancy had worked at 19 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2020 - September 13, 2021
KESTRA ADVISORY SERVICES, LLC
December 17, 2020 - September 13, 2021
KESTRA INVESTMENT SERVICES, LLC
November 21, 2017 - December 15, 2020
AVANTAX ADVISORY SERVICES
November 21, 2017 - December 9, 2020
AVANTAX INVESTMENT SERVICES, INC.
August 9, 2016 - March 29, 2017
CAVANAL HILL DISTRIBUTORS, INC,
April 2, 2013 - March 31, 2017
BOK FINANCIAL SECURITIES, INC.
April 2, 2013 - March 31, 2017
BOK FINANCIAL SECURITIES, INC.
August 4, 2010 - April 3, 2013
CETERA WEALTH SERVICES, LLC
August 3, 2010 - April 3, 2013
CETERA WEALTH SERVICES, LLC
August 26, 2008 - August 19, 2009
HIGHTOWER ADVISORS, LLC
August 26, 2008 - August 19, 2009
HIGHTOWER SECURITIES, LLC
October 19, 2006 - August 13, 2008
BKD INSURANCE, LLC
October 19, 2006 - August 13, 2008
FORVIS MAZARS CAPITAL ADVISORS, LLC
October 11, 2006 - August 13, 2008
FORVIS MAZARS WEALTH ADVISORS, LLC
January 17, 2005 - September 12, 2005
1ST GLOBAL CAPITAL CORP.
February 1, 2002 - December 31, 2002
VALMARK SECURITIES, INC.
November 5, 2001 - May 8, 2002
G.M.R. & CO SECURITIES, LLC
January 24, 2001 - February 15, 2001
1ST GLOBAL VENTURES, INC.
January 4, 2000 - October 29, 2001
1ST GLOBAL CAPITAL CORP.
January 24, 1997 - December 10, 1999
ENERIC FINANCIAL SERVICES, INC.
September 30, 1996 - December 13, 1999
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 21, 1990 - September 30, 1996
WATERSTONE FINANCIAL GROUP, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 7TO
Date: 2/4/2024
General Securities Representative ExaminationSeries 52TO
Date: 2/4/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 2/4/2024
Operations Professional ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
