DJ
David D. Jones
GOLDMAN SACHS & CO. LLC
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 5972598
DJ
Professional summary
David D Jones, who also goes by David De'allen Jones, David Jones, David D Jones, is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in Dallas, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 2015. David has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David De'allen Jones | David Jones | David D Jones
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.
CRS (Client Relationship Summary) - BD
Click below to view David D 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®
NoneExperience
Current
July 22, 2021 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 2001 Ross Avenue Suite 2800, Dallas, TX 75201RIA
BD
CRD#: 361
Dallas, TX
Past
July 22, 2021 - October 15, 2021
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
Dallas, TX
Past
October 10, 2019 - June 15, 2021
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
DALLAS, TX
Past
October 10, 2019 - June 15, 2021
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
DALLAS, TX
Past
July 29, 2019 - October 10, 2019
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Addison, TX
Past
July 29, 2019 - October 10, 2019
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ADDISON, TX
Past
January 4, 2019 - July 9, 2019
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
RIA
CRD#: 298422
DALLAS, TX
Past
January 2, 2019 - April 22, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
Dallas, TX
Past
June 12, 2018 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
DALLAS, TX
Past
June 12, 2018 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Dallas, TX
Past
May 26, 2016 - May 4, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOUSTON, TX
Past
May 26, 2016 - May 4, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
November 24, 2015 - May 27, 2016
MORGAN STANLEY
RIA
CRD#: 149777
ARLINGTON, TX
Past
November 5, 2015 - May 27, 2016
MORGAN STANLEY
BD
CRD#: 149777
ARLINGTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")
CRD#: 361 / SEC#: 801-16048, 8-129
RIA
Registered Investment Advisory firm - SEC (5/13/1981 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/22/2021)
RR
Alaska(7/22/2021)
RR
Arizona(7/22/2021)
RR
Arkansas(7/22/2021)
RR
California(7/22/2021)
RR
Colorado(7/22/2021)
RR
Connecticut(7/22/2021)
RR
Delaware(7/22/2021)
RR
District of Columbia(7/22/2021)
RR
Florida(7/22/2021)
RR
Georgia(7/22/2021)
RR
Hawaii(7/22/2021)
RR
Idaho(7/22/2021)
RR
Illinois(7/22/2021)
RR
Indiana(7/22/2021)
RR
Iowa(7/22/2021)
RR
Kansas(7/22/2021)
RR
Kentucky(7/22/2021)
RR
Louisiana(7/22/2021)
RR
Maine(7/22/2021)
RR
Maryland(7/22/2021)
RR
Massachusetts(7/22/2021)
RR
Michigan(7/22/2021)
RR
Minnesota(7/22/2021)
RR
Mississippi(7/22/2021)
RR
Missouri(7/22/2021)
RR
Montana(7/22/2021)
RR
Nebraska(7/22/2021)
RR
Nevada(7/22/2021)
RR
New Hampshire(7/22/2021)
RR
New Jersey(7/22/2021)
RR
New Mexico(7/22/2021)
RR
New York(7/22/2021)
RR
North Carolina(7/22/2021)
RR
North Dakota(7/22/2021)
RR
Ohio(7/23/2021)
RR
Oklahoma(7/22/2021)
RR
Oregon(7/22/2021)
RR
Pennsylvania(7/22/2021)
RR
Puerto Rico(7/22/2021)
RR
Rhode Island(7/22/2021)
RR
South Carolina(7/22/2021)
RR
South Dakota(7/22/2021)
RR
Tennessee(7/22/2021)
RR
Texas(7/22/2021)
RR
Utah(7/22/2021)
RR
Vermont(7/22/2021)
RR
Virgin Islands(7/22/2021)
RR
Virginia(7/22/2021)
RR
Washington(7/22/2021)
RR
West Virginia(7/22/2021)
RR
Wisconsin(7/22/2021)
RR
Wyoming(7/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")
CRD#: 361 / SEC#: 801-16048, 8-129
RIA
Registered Investment Advisory firm - SEC (5/13/1981 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 West Street, New York, NY 10282
Mailing Address
111 South Main Street, Salt Lake City, UT 84111
Phone number
(212) 902-1000
Established
New York since 01/03/1927
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,704
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| RUEMMLER, KATHRYN HELEN | MANAGING DIRECTOR, CLO, MANAGER | 7250761 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory assets under management
| Total Number of Accounts | 42,138 |
| AUM (Assets Under Management) | $ 233,155,693,023 |
Disclosures
| Regulatory Event | 408 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
Company Information
GOLDMAN SACHS & CO. LLC
CRD#: 361Dallas, TX 75201TRUST BUT VERIFY
Monitor David Jones
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
