Individual Firm
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KENNETH CLARK JONES
KEN JONES, KENNETH JONES
CRD#: 2354947
IA
B
MORGAN STANLEYCRD#: 149777 500 DuPont Field Blvd.
Suite 300
Greenville, DE 19807
Suite 300
Greenville, DE 19807
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5/28/2002
Customer Dispute
Closed-No Action
1/18/2002
Customer Dispute
Closed-No Action
State Registrations
B
California 10/14/2015
B
Minnesota 1/2/2025
B
Colorado 8/2/2019
B
New Jersey 6/1/2009
B
Delaware 6/1/2009
B
New York 12/7/2015
IA
Delaware 6/1/2009
B
North Carolina 2/16/2022
B
District of Columbia 12/1/2022
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
South Carolina 2/15/2022
B
Illinois 5/13/2024
B
Texas 6/9/2021
B
Maryland 6/1/2009
IA
Texas 6/12/2021
B
Massachusetts 3/10/2022
B
Virginia 6/1/2009
B
Michigan 10/14/2015
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/18/2008 - 06/01/2009 | WILMINGTON, DE | |
B | 01/18/2008 - 06/01/2009 | WILMINGTON, DE | |
IA | 01/01/1998 - 01/24/2008 | WILMINGTON, DE | |
B | 07/19/1993 - 01/24/2008 | WILMINGTON, DE |
WILMINGTON, DE
01/01/1998 - 01/24/2008
WILMINGTON, DE
07/19/1993 - 01/24/2008
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.