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
Entity Type
OTHER

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)
  • EXECUTIVE OFFICER
Clarification of Response
MANAGING PARTNER

Item 3. Related Persons

Name
KEVIN D BASTIEN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF FINANCIAL OFFICER

Item 3. Related Persons

Name
KENNETH R CELLA, JR.
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
PRINCIPAL OF CLIENT STRATEGIES GROUP

Item 3. Related Persons

Name
THOMAS P CURRAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
PRINCIPAL OF BRANCH DEVELOPMENT

Item 3. Related Persons

Name
VINCENT J FERRARI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
PRINCIPAL OF FIRM ADMINISTRATION

Item 3. Related Persons

Name
CHRISTOPHER N LEWIS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
GENERAL COUNSEL

Item 3. Related Persons

Name
DANIEL J TIMM
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
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

  • Equity

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
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