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Expert Review

Kenneth Jones: Exposed with the Allegations of SEC or not? (Update 2024)

Who is Kenneth Jones (CRD#: 1250538)

Kenneth Jones is an Investment Advisor Representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Anchorage, AK, with over 39 years of finance expertise. Kenneth Jones is a financial counselor based in Atlanta, Georgia, with ten years of expertise. Merrill Lynch, Pierce, Fenner & Smith Inc. now employs Jones.

Jones has worked with Merrill Lynch, Pierce, Fenner & Smith Inc, Tao Group, Nirav Modi, Louis Vuitton, Wynn Las Vegas, 24Seven, Idilco, Fusion World, Pomellato, Tourneau, Macy’s, Hublot, Bank Of America, N.A. during their career. Jones carries a Series 66 license, which designates them as a securities agent as well as an investment advisor representative and is authorized to service investors in Georgia and Texas.

About Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Merrill Lynch, Pierce, Fenner & Smith Inc is a company headquartered in Atlanta, Georgia. The investment advisory firm has 3,374 offices and 34,906 workers worldwide. It manages $1 trillion in total assets across 2,825,602 customer accounts, making it one of the largest corporations in the United States in terms of assets under management. The organization offers financial advice to 5,339 nonprofits and foundations. Only 9% of the bank’s 2,825,602 client accounts are held by high-net-worth people with at least $1 million in assets.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Merrill Lynch, Pierce, Fenner & Smith Inc provides a variety of services, including portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, and adviser selection. Financial advisor fees often vary depending on the sort of financial services provided. Merrill Lynch, Pierce, Fenner & Smith Inc, on the other hand, is likely to levy asset-based, fixed, and commission-based fees.

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Early Beginnings: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charles E. Merrill started Charles E. Merrill & Co. for business on January 6, 1914, at 7 Wall Street in New York City. A few months later, Merrill’s friend Edmund C. Lynch joined him, and the firm’s name was changed to Merrill, Lynch & Co. in 1915. The firm’s name at the time featured a comma between Merrill and Lynch, which was removed in 1938. Winthrop H. Smith joined the firm in 1916.

Fenner & Beane, a New Orleans-based investment bank and commodities company, amalgamated with Merrill Lynch, E. A. Pierce, and Cassatt in 1941. Throughout the 1930s, Fenner & Beane was the second-largest securities firm in the United States. The United firm rose to become the undisputed leader in securities brokerage in the U.S. and was renamed Merrill Lynch, Pierce, Fenner & Beane.

  • Services Provided
  • Banking
  • Lending
  • Investments
  • Retirement & Savings
  • Insurance
  • Wealth Management
11/12/2023 Update
As of now, Kenneth Jones has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

Kenneth Jones Disclosures: BrokerCheck, FINRA, And SEC

The brokerCheck report of Kenneth Jones includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

There is no disclosure against Kenneth Jones.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.


Source: individual_1250538.pdf (

SEC Litigations & Forms

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Source: kenneth jones – SEC Site Search Search Results

Kenneth Jones Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia, and Trellis. law and Law360. If Kenneth Jones has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Kenneth Jones which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Kenneth Jones on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Kenneth Jones Complaints & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Kenneth Jones using the websites down below:

Better Alternatives To Kenneth Jones:

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
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Manages Assets Worth

  • $6,427,792,177


  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
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Manages Assets Worth

  • $4,465,757,285


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
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Manages Assets Worth

  • $302,000,000


  • Financial planning
  • Portfolio management

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