Melissa S. Jones

DOUGLAS W. JONES ASSOCIATES FINANCIAL & INSURANCE SERVICES

Lake Forest, CA 92630

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CRD#: 1390408

Professional summary

Melissa Shaw Jones, CFP®, who also goes by Melissa Shaw Armstrong, Melissa Shaw, is a registered financial advisor currently at DOUGLAS W. JONES ASSOCIATES FINANCIAL & INSURANCE SERVICES, INC. located in Lake Forest, California and J. W. COLE ADVISORS, INC. located in Lake Forest, California.

Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Melissa has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melissa Shaw Armstrong | Melissa Shaw

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Shaw 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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

February 28, 2000 - Present

DOUGLAS W. JONES ASSOCIATES FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 26477 Rancho Parkway South, Lake Forest, CA 92630

RIA

CRD#: 112862

Lake Forest, CA

Current

February 15, 2013 - Present

J. W. COLE ADVISORS, INC.

Office #1: 26477 Rancho Parkway South, Lake Forest, CA 92630

RIA

CRD#: 112294

LAKE FOREST, CA

Current

February 15, 2013 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 26477 Rancho Parkway South, Lake Forest, CA 92630

CRD#: 124583

Lake Forest, CA

Past

May 3, 2006 - February 21, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

LAKE FOREST, CA

Past

March 22, 1992 - November 2, 2006

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

LAGUNA HILLS, CA

Past

April 24, 1991 - February 21, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

LAKE FOREST, CA

Past

May 7, 1990 - April 26, 1991

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

May 7, 1990 - April 26, 1991

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

September 10, 1987 - December 31, 1989

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

September 10, 1987 - December 31, 1989

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

November 17, 1986 - September 1, 1987

UNIFIED SECURITY ASSETS, INC.

CRD#: 17304

Past

July 3, 1986 - February 4, 1987

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

Past

October 29, 1985 - July 3, 1986

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

CRD#: 3461

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 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.

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

IAR

California
(2/28/2000)

California
(2/15/2013)

Colorado
(8/11/2020)

Montana
(6/15/2021)

Nevada
(8/7/2015)

Oregon
(2/15/2013)

Washington
(6/20/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/9/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/28/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/28/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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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Melissa S. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Shaw Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUGLAS W. JONES ASSOCIATES FINANCIAL & INSURANCE SERVICES, INC.

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

TRANSAMERICA SECURITIES SALES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA SECURITIES SALES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

UNIFIED SECURITY ASSETS, INC.

CONSECO FINANCIAL SERVICES, INC.

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/2006

Series 65

Date: 2/28/2000

SIE

Date: 10/1/2018

Series 6

Date: 10/28/1985

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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