Colleen M. 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.
Colleen Marie Jones, who also goes by Colleen Jones, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1993. Colleen had worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2021 - March 30, 2026
KLINGENSTEIN FIELDS ADVISORS
January 29, 2002 - October 12, 2005
CREDIT SUISSE ASSET MANAGEMENT, LLC
November 5, 1993 - April 15, 2003
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
Primary Firm SEC Registration
KLINGENSTEIN FIELDS ADVISORS
CRD#: 105907 / SEC#: 801-33347
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
KLINGENSTEIN FIELDS ADVISORS
CRD#: 105907 / SEC#: 801-33347
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,267 |
| AUM (Assets Under Management) | $ 4,737,298,353 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/28/2024 | ||
| 11/27/2023 |
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.
