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JJ

Jennifer Jones

CRD# 5206491·Registered 2009 - 2018
Previously Registered: Being a previously registered professional could mean that Jennifer 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.

Professional Summary

Jennifer Jones, who also goes by Jennifer L Jones, Jennifer Lynn Jones, was a registered financial advisor. Jennifer was a previously registered financial professional and started their career in finance 2009 - 2018. Jennifer had worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jennifer L Jones, Jennifer Lynn Jones

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

17 years in the financial services industry

Current & Past Employments

CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Wilmington, DE
June 20, 2017 - September 17, 2018
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Wilmington, DE
June 19, 2017 - September 17, 2018
LINCOLN INVESTMENT·CRD# 519
RIA
Fort Washington, PA
May 31, 2016 - July 14, 2017
LINCOLN INVESTMENT·CRD# 519
BD
Fort Washington, PA
May 31, 2016 - July 14, 2017
JANNEY MONTGOMERY SCOTT LLC·CRD# 463
RIA
Philadelphia, PA
October 6, 2014 - May 28, 2016
JANNEY MONTGOMERY SCOTT LLC·CRD# 463
BD
Philadelphia, PA
May 15, 2009 - May 28, 2016

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Current Firm

CO
CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Contact Information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2014About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Jan 2010About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed May 2009About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2016About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JJ
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