Registered advisors
1 advisors
Medium firm tier
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 6888 Grade F
JONESTRADING — FINRA BrokerCheck Disciplinary Record
Limited Liability Company headquartered in THOUSAND OAKS, CA. 1 registered advisor, 900.0% disclosure rate.
JONESTRADING registration status — ACTIVE
Total disclosures
9 events
On FINRA BrokerCheck
Disclosure rate
900.0%
9 ÷ 1 advisors
Branch offices
21 offices
Formed in Delaware
Disclosure Density
Disclosures per registered advisor — relative to peer-firm benchmarks.
JONESTRADING — disclosures per advisor 100.0%
Industry median
Compared against the 0.10-disclosure-per-advisor industry-median benchmark drawn from the firms table.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 9 |
| Customer Complaints | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 9 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
JONESTRADING — 9 disclosures on FINRA U4/U5 categories
Peer Comparison
JONESTRADING vs. industry-median benchmarks for Medium-tier broker-dealer firms.
Disclosure rate
900.0%
Industry median: 10.0%
Reg events / advisor
9.00
Industry median: 0.05
Branches / advisor
21.00
Industry median: 0.15
Firm Details
- Firm Size
- Medium
- Scope
- ACTIVE
- Location
- THOUSAND OAKS, CA, 91360
- Formed
- 08/15/2001
- State of Formation
- Delaware
- CRD Number
- 6888
- SEC Number
- 26089
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About JONESTRADING
JONESTRADING (Limited Liability Company, CRD# 6888 · SEC# 26089 · THOUSAND OAKS, CA) reports 1 advisor across 21 branches — Medium tier, scope ACTIVE.
BrokerCheck shows 9 disclosures (900.0% per-advisor rate): 9 regulatory, 0 customer-complaint, 0 arbitration, 0 civil. Letter grade F (1/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA, BrokerCheck Public Disclosure Data (2024) FINRA, BrokerCheck Public Disclosure Data (2024)
Frequently Asked Questions
What does a grade of F mean for JONESTRADING?
A grade of F indicates JONESTRADING has a significant number of FINRA disclosures relative to its size (900.0% disclosure rate). Prospective clients should review the specific disclosures before engaging.
How many FINRA disclosures does JONESTRADING have?
JONESTRADING has 9 total FINRA disclosures, including 9 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How many financial advisors work at JONESTRADING?
JONESTRADING has 1 registered advisor and 21 branch offices, headquartered in CA. Advisor counts are sourced from FINRA BrokerCheck public records.
Where can I verify JONESTRADING's disciplinary record?
You can verify JONESTRADING's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6888. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid JONESTRADING because of its disclosures?
Not necessarily. Larger firms with more advisors tend to accumulate more disclosures. JONESTRADING has a 900.0% disclosure rate (9 disclosures across 1 advisors). Consider reviewing the nature of individual disclosures on FINRA BrokerCheck and comparing rates with similarly-sized firms before making a decision.
Related Guides
Explore Financial Data
PlainBankData
FDIC-insured bank health data, financial ratings, and branch locations.
PlainFundData
Mutual fund and ETF performance, fees, and portfolio composition data.
PlainCredit
Consumer credit, complaints, and financial product comparison data.
PlainLender
Mortgage and lending institution data, rates, and compliance records.
Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial