Vickie S. 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.
Vickie Simmons Jones, who also goes by VIckie Jo Jones, Vickie Simmonsq Jones, Vickie Jo Simmons, was a registered financial professional .
Vickie is a previously registered financial professional and started their career in finance in 2003. Vickie had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - November 8, 2017
KESTRA ADVISORY SERVICES, LLC
February 2, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 2, 2015 - November 8, 2017
KESTRA INVESTMENT SERVICES, LLC
October 25, 2007 - February 13, 2015
INVEST FINANCIAL CORPORATION
February 28, 2007 - February 13, 2015
INVEST FINANCIAL CORPORATION
June 6, 2006 - February 27, 2007
CETERA WEALTH SERVICES, LLC
January 3, 2005 - June 14, 2006
TRUIST INVESTMENT SERVICES, INC.
January 22, 2003 - January 3, 2005
NCF FINANCIAL SERVICES, 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
Current 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.
