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2015044782401 ROBBI J. JONES 1797418 and KIPLING JONES & CO., LTD. 144730 SEC jhjr (2026-1768436403031).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 104273 / November 28, 2025 Admin. Proc. File No. 3-20209 In the Matter of the Application of ROBBI J. JONES and KIPLING JONES & CO., LTD., For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING FINRA found that a former member firm and its owner were liable for maintaining inaccurate books and records and for filing materially inaccurate FOCUS reports.

Election Notice - 12/16/2025

FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees,1 and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC).

CTEWA

Certified Trust & Estate Wealth Advisor (CTEWA)

Designation Essentials
Status No longer offered or supported by the issuing organization
Issuing Organization WealthCounsel, LLC
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
Verification and Complaints
Online Designation Resource
Investor Complaint Process
Published List of Disciplined Designees

2024083413501 Ryan Wesley Davis CRD 5285713 AWC lp (2026-1768177201908).pdf

Davis refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Davis engaged in an undisclosed private securities transaction. As a result, Davis violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
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