David M. Jones

D & G ADVISORY GROUP, L.L.C.

Menominee, MI

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CRD#: 1023665

Professional summary

David Michael Jones, who also goes by D M Jones, David M Jones, is a registered financial advisor currently at D & G ADVISORY GROUP, L.L.C. located in Menominee, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

D M Jones | David M Jones

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. D & G ADVISORY GROUP, YES, N6682 SOUTH HARBOR LANE MENOMINEE MI. 49858, 2001, 160, 120, ACTIVELY MANAGE INVESTMENT PORTFOLIOS. 2. D&G ADVISORY GROUP, YES, N6682 SOUTH HARBOR LANE MENOMINEE MI 49858, 2000, 10, 1, SELL EXECUTIVE BONUS PLANS SECT 162 EXECUTIVE LIFE AND DISABILITY INSURANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Jones's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 19, 2011 - Present

D & G ADVISORY GROUP, L.L.C.

RIA

CRD#: 125055

Menominee, MI

Past

November 3, 2023 - January 29, 2024

OSAIC WEALTH, INC.

CRD#: 23131

MENOMINEE, MI

Past

July 16, 2007 - September 28, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MENOMINEE, MI

Past

August 31, 2001 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

MENOMINEE, MI

Past

November 17, 1995 - September 13, 2001

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

September 4, 1987 - September 26, 1995

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

D & G ADVISORY GROUP, L.L.C.

CRD#: 125055 / SEC#: 801-121996

RIA

Registered Investment Advisory firm - (8/4/2021 Approved)

Michigan

Registered Investment Advisory firm - (8/26/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/20/2024)

IAR

Florida
(6/12/2024)

IAR

Idaho
(3/18/2024)

IAR

Michigan
(4/19/2011)

IAR

Minnesota
(3/18/2024)

IAR

South Carolina
(4/2/2024)

IAR

Wisconsin
(2/19/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/12/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

D & G ADVISORY GROUP, L.L.C.

CRD#: 125055 / SEC#: 801-121996

RIA

Registered Investment Advisory firm - (8/4/2021 Approved)

Michigan

Registered Investment Advisory firm - (8/26/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/25/2021 Terminated)

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Contact information

Main Address

Menominee, MI

Mailing Address

Phone number

(906) 863-8069

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

D&G ADVISORY GROUP - FORM ADV PART 2 - MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	283
AUM (Assets Under Management)	$ 156,416,569

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David M. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

SII INVESTMENTS, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

D & G ADVISORY GROUP, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1999

Series 63

Date: 8/22/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/28/1999

Series 6

Date: 8/27/1987

Series 26

Date: 3/12/1997

Current Firm

D & G ADVISORY GROUP, L.L.C.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

D & G ADVISORY GROUP, L.L.C.

TRUST BUT VERIFY

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