Mark Tray Jones
Professional Summary
Mark Tray Jones is a registered financial advisor currently at CETERA WEALTH SERVICES, LLC located in Jacksonville, North Carolina. Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
Current Firm
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
Contact Information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672Mailing Address
Po Box 983, Saint Cloud, MN 56302Phone Number
(800) 879-8100Established
Delaware since 12/31/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,881FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | — |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| MOLNAR, MICHAEL JAMES | VICE PRESIDENT | 4866129 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| NILAND, ERIK BRADLEY | VICE PRESIDENT | 2796476 |
| OBRIEN, EDWARD D | MANAGER | 2239064 |
| PATTERSON, GERALD | VICE PRESIDENT | 4302538 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
| WENIG, HARLAN DAVID | VICE PRESIDENT | 4690768 |
Regulatory Assets Under Management
Total Number of Accounts
192,956AUM (Assets Under Management)
$46,651,447,975Disclosures
Regulatory Event
20Civil Event
2Arbitration
15Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
State Registrations and Notice Filings
(6/26/2018)
(1/12/2015)
(12/19/2016)
(1/12/2015)
(1/12/2015)
(1/3/2024)
(1/12/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1988About the Series 6 examSRO Registrations
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS
CRS (Client Relationship Summary) - BD
Click below to view Mark Tray Jones's CRS (Customer Relationship Summary).
Similar Advisors
TIVERTON WEALTH
FALCON WEALTH PLANNING, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
ALIGN FINANCIAL SOLUTIONS