Ivan D. Jones
Professional summary
Ivan Dunlavy Jones JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ivan is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Ivan had worked at 6 firms, which includes COASTAL DISCOUNT STOCKBROKERS INC., CAPE SECURITIES INC., A. G. EDWARDS & SONS INC., JOHNSON LANE SPACE SMITH & CO. INC., BACHE & CO INCORPORATED, R. S. DICKSON POWELL KISTLER & CRAWFORD.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1989 - October 4, 1997
COASTAL DISCOUNT STOCKBROKERS, INC.
April 6, 1988 - March 20, 1989
CAPE SECURITIES INC.
March 7, 1977 - March 26, 1986
A. G. EDWARDS & SONS, INC.
July 6, 1976 - April 10, 1977
JOHNSON, LANE, SPACE, SMITH & CO., INC.
October 25, 1972 - August 23, 1976
BACHE & CO INCORPORATED
February 27, 1970 - November 5, 1972
R. S. DICKSON, POWELL, KISTLER & CRAWFORD
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 15
Date: 10/25/1984
Foreign Currency Options ExaminationSeries 1
Date: 12/16/1968
Registered Representative ExaminationSeries 28
Date: 6/26/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 40
Date: 6/25/1973
Registered Principal ExaminationCurrent Firm
COASTAL DISCOUNT STOCKBROKERS, INC.
CRD#: 18237 / SEC#: , 8-36324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COASTAL CAPITAL MARKETS LLC | SH | |
| BARBER, TODD RICHARD | VICE PRESIDENT - NATIONAL SALES | 4194168 |
| FORMYDUVAL, WILLIAM HALL | PRESIDENT, FINOP, GSP | 2212332 |
| JORGENSEN, GREGORY ALLAN | SENIOR VICE PRESIDENT | 3107349 |
| NORDEEN, CLEVE ERICSON | VICE PRESIDENT | 2792492 |
| SANDSTRUM, SUSAN MARY | VICE PRESIDENT OPERATIONS | 2576405 |
| SCHARDT, BRET FREDERICK | SENIOR VICE PRESIDENT | 2443978 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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