2015044782401 ROBBI J. JONES 1797418 and KIPLING JONES & CO., LTD. 144730 SEC jhjr.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 Currently offered and recognized by the issuing organization
Issuing Organization WealthCounsel, LLC
Qualification and Training Requirements
Prerequisites

Candidates must:

  • be registered to sell securities, offer investment advice or both;
  • be in good standing with their professional organization's governing body; and
  • be a current member of Advisors Forum by WealthCounsel.
Designation Training Requirements

Training courses available in live webinar and self-study formats
Designation Exam Type

Online, open book final exam
Continuing Education Requirements

12 credit hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

2020068830202 Kingswood Capital Partners, LLC CRD 288898 AWC lp.pdf

From March 2019 through June 2019, Kingswood failed to reasonably supervise a former registered representative’s recommendations of illiquid alternative investments to three senior customers. Kingswood also failed to establish and maintain written procedures reasonably designed to achieve compliance with suitability requirements with respect to those alternative investments. Kingswood therefore violated FINRA Rules 3110 and 2010. For these violations, Kingswood is censured and fined $150,000.
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