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Detailed Report
KEVIN WARNER JONES
Kevin Warner Jones, Kevin Jones
CRD#: 4370363
IA
Investment Adviser
B
Broker
ALLIANCEBERNSTEIN L.P.CRD#: 108477 1400 16th Street
Suite 450
DENVER, CO 80202
SANFORD C. BERNSTEIN & CO., LLCCRD#: 104474 1400 16th Street
Suite 450
DENVER, CO 80202
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2021 - 2023 (2 years)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2016 - 2020 (3 years)BPROVASI CAPITAL PARTNERS LP (CRD# 119539)2015 - 2016 (1 year)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2001 - 2015 (14 years)IATRANSAMERICA INVESTMENT MANAGE... (CRD# 108488)2008 - 2011 (2 years)
License(s)

State Registrations

B
Colorado 9/25/2023
B
Kansas 10/2/2023
IA
Colorado 9/25/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ALLIANCEBERNSTEIN L.P. (CRD#:108477)
1400 16th Street Suite 450, DENVER, CO 80202
Registered with this firm since 9/25/2023
B
SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474)
1400 16th Street Suite 450, DENVER, CO 80202
Registered with this firm since 9/25/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/03/2021 - 09/06/2023 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
B
 11/04/2016 - 10/14/2020 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
B
 07/30/2015 - 11/07/2016 PROVASI CAPITAL PARTNERS LP (CRD#:119539) DALLAS, TX
B
 05/30/2001 - 07/16/2015 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
IA
 08/07/2008 - 05/23/2011 TRANSAMERICA INVESTMENT MANAGEMENT, LLC (CRD#:108488) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.