Douglas L. 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.
Douglas Lee Jones, who also goes by Doug Jones, Douglas Lee Jones, Douglas Jones, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2024 - July 1, 2026
CHARLES SCHWAB & CO., INC.
October 5, 2022 - December 18, 2023
EMPOWER FINANCIAL SERVICES, INC.
August 4, 2020 - January 12, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
September 11, 2017 - January 27, 2020
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 30, 2017 - January 27, 2020
BBVA SECURITIES INC.
October 1, 2012 - April 26, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 26, 2017
J.P. MORGAN SECURITIES LLC
August 7, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 23, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 16, 2010 - May 14, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
March 15, 2010 - May 14, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 13, 2009 - February 11, 2010
ALLSTATE FINANCIAL SERVICES, LLC
August 1, 2008 - November 14, 2008
NATIONWIDE SECURITIES, LLC
January 18, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
December 6, 2004 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 29, 2001 - November 14, 2008
NATIONWIDE SECURITIES, LLC
May 17, 2000 - July 16, 2001
MML INVESTORS SERVICES, LLC
June 30, 1983 - April 25, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
