TJ
Thomas D. Jones
CETERA INVESTMENT ADVISERS LLC
ATLANTA, GA 30342
Some features on this profile are disabled
CRD#: 1146475
TJ
Professional summary
Thomas Davis Jones, CFP®, who also goes by Tom Jones, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom 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)- - HAT CREEK PLANTATION, LLLP; NOT INVESTMENT RELATED; ONE PLANTATION ROAD, CHULA, GA 31733; FARMING, CATTLE, TIMBER; GENERAL PARTNER REPRESENTATIVE; BEGAN JANUARY 2013; APPROXIMATELY 16 HOURS PER MONTH INCLUDING DURING TRADING HOURS; MANAGE WORKING FARM, TIMBER AND WILDLIFE MANAGEMENT. 2) - - HAT CREEK PLANTATION MANAGEMENT COMPANY, LLC; NOT INVESTMENT RELATED; 163 OSNER DRIVE, ATLANTA, GA 30342; AGRICULTURAL PRODUCTS; OWNER; BEGAN DECEMBER 2012; APPROXIMATELY 8 HOURS PER MONTH INCLUDING DURING TRADING HOURS; AGRICULTURAL PRODUCTS. 3) NAME OF OTHER BUSINESS: HAT CREEK HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FARMING & CATTLE; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: MANAGE WORKING FARM, TIMBER, & WILDLIFE MANAGEMENT; 4) - - POWER OF ATTORNEY FOR AGING FATHER, DONALD RICHARD JONES; INVESTMENT RELATED; 163 OSNER DRIVE, ATLANTA, GA 30342; FINANCIAL POWER OF ATTORNEY; BEGAN 2010; APPROXIMATELY 20 HOURS PER MONTH INCLUDING DURING TRADING HOURS; ASSIST AGING FATHER WITH HIS FINANCIAL MATTERS. 5)- - IZAAK WALTON LEAGUE OF AMERICA, GREATER ATLANTA CHAPTER, INC.; NOT INVESTMENT RELATED; 163 OSNER DRIVE, ATLANTA, GA 30342; ENVIRONMENTAL, CONSERVATION; VOLUNTEER AND PRESIDENT OF BOARD OF DIRECTORS FOR NON-PROFIT ORGANIZATION; BEGAN 1976; APPROXIMATELY 10 HOURS PER MONTH INCLUDING DURING TRADING HOURS; LEAD CHAPTER EVENTS, REPORT TO NATIONAL HEADQUARTERS, PRESIDE AT BOARD OF DIRECTORS MEETINGS. 6) - - BOB M TAYLOR TRUST A (FAMILY) AND TRUST B (MARITAL); INVESTMENT RELATED; 4823 OLD KINGSTON PIKE, KNOXVILLE, TN 37919; TRUSTEE; BEGAN 2001; HOURS VARY; TRUST SERVICES. 7) NAME OF OTHER BUSINESS: FINANCIAL PLANNING AND MANAGEMENT, INC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/1984, POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT/CEO, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, RETIREMENT & TAX PLANNING; 8) - - INSURANCE AND EMPLOYEE BENEFITS, INC.; NOT INVESTMENT RELATED; 163 OSNER DRIVE, ATLANTA, GA 30342; GROUP AND INDIVIDUAL LIFE/HEALTH INSURANCE; PRESIDENT, CEO; BEGAN 1984; UP TO 10 HOURS PER MONTH INCLUDING DURING TRADING HOURS; SALES, ADMINISTRATIVE DUTIES, OPERATIONAL DIRECTION/PLANNING. 9) NAME OF OTHER BUSINESS: TRUST COMPANY OF TENNESSEE; INVESTMENT RELATED: NO; ADDRESS: 4823 OLD KINGSTON PIKE, KNOXVILLE, TN 37919; NATURE OF BUSINESS: BOARD; START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: BOARD OFFICER; APX NUMBER OF HOURS PER WEEK: 2.5; APX NUMBER OF HOURS DURING TRADING HOURS: 2.5; BRIEF DESCRIPTION OF DUTIES: STRATEGIC PLANNING AND OVERSIGHT OF OPERATIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Davis Jones's 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®
CFP®
Start date: 1986
Experience
Current
March 22, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 163 Osner Drive, Atlanta, GA 30342RIA
CRD#: 105644
ATLANTA, GA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 163 Osner Drive, Atlanta, GA 30342BD
CRD#: 13572
Atlanta, GA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ATLANTA, GA
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ATLANTA, GA
Past
January 5, 2007 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
ATLANTA, GA
Past
January 4, 1996 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
ATLANTA, GA
Past
October 7, 1993 - January 19, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
February 7, 1991 - April 22, 1993
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
February 7, 1991 - March 15, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 18, 1990 - August 17, 1993
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 19, 1989 - March 5, 1990
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
July 1, 1986 - May 23, 1989
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
BD
CRD#: 14367
Past
November 14, 1984 - July 22, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Past
June 22, 1983 - October 9, 1984
FSC SECURITIES CORPORATION
BD
CRD#: 7461
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2023)
RR
Arizona(9/20/2019)
RR
California(1/5/2023)
RR
Florida(9/21/2019)
RR
Georgia(9/20/2019)
IAR
Georgia(3/22/2023)
RR
North Carolina(9/20/2019)
RR
South Carolina(9/20/2019)
RR
South Dakota(1/2/2025)
RR
Washington(1/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
