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EJ

Elizabeth H. Jones

Some features on this profile are disabled
CRD#: 6885453
EJ

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.

Elizabeth Heather Leeann Jones, who also goes by Elizabeth Jones, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 2017. Elizabeth had worked at 2 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth 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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

August 7, 2018 - March 29, 2019

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
DES MOINES, IA
Past

December 21, 2017 - June 29, 2018

DIRECTED SERVICES LLC

BD
CRD#: 21675
DES MOINES, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/21/2017
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SLD AMERICA EQUITIES, INC.
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.

CRD#: 36259 / SEC#: , 8-47089

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Phone number
(763) 342-9429
Established
Colorado since 09/27/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITY LIFE OF DENVER INSURANCE COMPANYPARENT OF BROKER/DEALER
ANDERSON, KELLY MARIEDEPUTY COMPLIANCE OFFICER1819119
BURNS, BRANDI JOPRESIDENT5862366
DIXIT, ANURAKTCHAIR/DIRECTOR8029030
ESLINGER, CHAD MICHAELCHIEF COMPLIANCE OFFICER4182299
KILIAN, CONRAD JOHANNFINANCIAL AND OPERATIONS PRINCIPAL6214509
SOCHA, KEVIN ROBERTDIRECTOR7241694
WIESE, AMY JODIRECTOR5928677

Disclosures

Regulatory Event1

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

SLD AMERICA EQUITIES, INC.

CRD#: 36259

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