Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
JONES FINANCIAL COMPANIES LLLP
Jurisdiction of Incorporation/Organization
MISSOURI
Year of Incorporation/Organization
Over Five Years Ago
Previous Name(s)
- JONES FINANCIAL COMPANIES LP LLP
- JONES FINANCIAL COMPANIES L P
Item 2 Issuer Principal Place of Business and Contact Information
12555 MANCHESTER ROAD
DES PERES, MO 63131
Phone Number:
subscription required
Item 3. Related Persons
Name
PENNY PENNINGTON
Address
subscription required
Relationship(s)
Clarification of Response
MANAGING PARTNER
Item 3. Related Persons
Name
KEVIN D BASTIEN
Address
subscription required
Relationship(s)
Clarification of Response
CHIEF FINANCIAL OFFICER
Item 3. Related Persons
Name
KENNETH R CELLA, JR.
Address
subscription required
Relationship(s)
Clarification of Response
PRINCIPAL OF CLIENT STRATEGIES GROUP
Item 3. Related Persons
Name
THOMAS P CURRAN
Address
subscription required
Relationship(s)
Clarification of Response
PRINCIPAL OF BRANCH DEVELOPMENT
Item 3. Related Persons
Name
VINCENT J FERRARI
Address
subscription required
Relationship(s)
Clarification of Response
PRINCIPAL OF FIRM ADMINISTRATION
Item 3. Related Persons
Name
CHRISTOPHER N LEWIS
Address
subscription required
Relationship(s)
Clarification of Response
GENERAL COUNSEL
Item 3. Related Persons
Name
DANIEL J TIMM
Address
subscription required
Relationship(s)
Clarification of Response
PRINCIPAL OF BRANCH DEVELOPMENT
Item 4. Industry Group
OTHER BANKING AND FINANCIAL SERVICES
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
09/01/2019
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
368670
Total Amount Sold
368670
Total Remaining to be Sold
0
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
1
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
JONES FINANCIAL COMPANIES LLLP
Issuer Signature
CHRIS LEWIS
Signer Name
CHRIS LEWIS
Signer Title
GENERAL COUNSEL
Signature Date
09/13/2019