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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.
2017054405401 WILLIAM JOSEPH KIELCZEWSKI 4034356 SEC jhjr (2026-1768436403050).pdf
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 104352 / December 9, 2025 Admin. Proc. File No.
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.