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Nancy Johnson Jones

Director

BS, Indiana University

Nancy Johnson Jones has served in senior compliance roles at independent and bank-affiliated broker dealers and investment advisors for more than 20 years. Most recently she served as AVP, Sales Supervision of Kestra Financial. She has also served as the Head of Advisory Compliance at Avantax Wealth Management, and the CCO for BOK Financial Securities, a bank affiliated RIA and BD, serving as the CCO for its BD, RIA, Bank Dealer, and Municipal Advisor. She was also the CCO of Cetera Advisor Networks and founded her own compliance consulting firm. She holds the Certified Securities Compliance Professional® (CSCP®) designation and has held the Series 7, 24, 63, 65, 27, and 53 registrations.

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