Thomas S. Jones
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Spencer Jones, who also goes by Thomas S Jones, Thomas Spencer Jones Jr, Thomas Jones, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2012 - July 2, 2019
NATIONWIDE INVESTMENT ADVISORS, LLC
June 19, 2012 - July 2, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 1, 2011 - March 9, 2012
COUNTRY CAPITAL MANAGEMENT COMPANY
October 29, 2010 - May 11, 2011
VALIC FINANCIAL ADVISORS, INC.
July 19, 2010 - May 11, 2011
VALIC FINANCIAL ADVISORS, INC.
January 6, 2009 - November 17, 2009
WADDELL & REED
December 5, 2006 - March 11, 2008
NATIONWIDE INVESTMENT ADVISORS, LLC
March 21, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 4, 1997 - February 10, 2005
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 1, 1996 - March 7, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 5, 1992 - July 1, 1996
NATIONWIDE SECURITIES, LLC
October 24, 1989 - October 16, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1989 - October 16, 1992
SIGNATOR INVESTORS, INC.
October 27, 1988 - October 10, 1989
G. R. PHELPS & CO., INC.
August 16, 1983 - October 16, 1992
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
