Brian D. Jones

WINDMILL CAPITAL ADVISER

Atherton, CA 94025

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CRD#: 3010944

Professional summary

Brian David Jones is a registered financial advisor currently at WINDMILL CAPITAL ADVISER located in Atherton, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

TRUSTEE OF THE KEITH AND DENISE JONES FAMILY TRUST PRESIDENT OF WINDMILL CAPITAL MANAGEMENT, LLC PARTNER OF ACTIVEALLOCATOR GROUP LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Jones's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 15, 2020 - Present

WINDMILL CAPITAL ADVISER

Office #1: 825 Oak Grove Avenue Suite A206, Atherton, CA 94025

RIA

CRD#: 306699

Atherton, CA

Past

March 28, 2014 - January 21, 2016

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

NEW YORK, NY

Past

September 12, 2011 - March 30, 2012

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

NEW YORK, NY

Past

November 18, 2010 - May 20, 2011

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

NEW YORK, NY

Past

March 10, 2008 - August 10, 2010

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

PALO ALTO, CA

Past

March 2, 2005 - November 21, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

January 1, 2005 - February 25, 2005

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

November 3, 2000 - February 7, 2001

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 14, 1998 - November 3, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/15/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2011

General Securities Principal Examination

Current Firm

WINDMILL CAPITAL ADVISER

WINDMILL CAPITAL ADVISER | WINDMILL CAPITAL ADVISER LLC

CRD#: 306699 / SEC#:

California

Registered Investment Advisory firm - (4/15/2020 Approved)

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Contact information

Main Address

825 Oak Grove Avenue Suite A206, Menlo Park, CA 94025

Mailing Address

P.o. Box 1103, Menlo Park, CA 94026-1103

Phone number

(650) 716-4575

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Brian D. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTY CAPITAL SECURITIES, LLC

REALTY CAPITAL SECURITIES, LLC

REALTY CAPITAL SECURITIES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

MORGAN STANLEY & CO. LLC

RBC CAPITAL MARKETS CORPORATION

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2020

Series 63

Date: 1/20/2009

SIE

Date: 1/21/2016

Series 7

Date: 12/22/2004

Series 24

Date: 4/8/2011

Current Firm

WINDMILL CAPITAL ADVISER

Contact information

Documents

Red Flags

Company Information

WINDMILL CAPITAL ADVISER

TRUST BUT VERIFY

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