Howard G. Jones

CETERA INVESTMENT ADVISERS LLC

PHOENIX, AZ 85016

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CRD#: 1963785

Professional summary

Howard Graham Jones, who also goes by Howard Jones, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.

Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Howard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Howard 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Graham 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®

None

Experience

Current

May 4, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016

RIA

CRD#: 105644

PHOENIX, AZ

Current

May 2, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016

CRD#: 15340

Phoenix, AZ

Past

January 18, 2019 - May 3, 2022

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Scottsdale, AZ

Past

January 18, 2019 - May 3, 2022

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Scottsdale, AZ

Past

January 2, 2015 - December 31, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LOS ANGELES, CA

Past

January 2, 2015 - December 31, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LOS ANGELES, CA

Past

May 16, 2000 - December 31, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

SOLVANG, CA

Past

July 14, 1993 - December 31, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

SOLVANG, CA

Past

May 26, 1992 - July 31, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

August 28, 1991 - April 7, 1992

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

July 18, 1989 - July 30, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(5/4/2022)

IAR

Arizona
(5/4/2022)

California
(5/2/2022)

Mississippi
(5/12/2022)

Utah
(6/8/2022)

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

IAR

Series 65

Date: 12/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 7/25/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Howard G. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Graham Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

HAMILTON INVESTMENTS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/1999

Series 63

Date: 9/7/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1989

Series 51

Date: 7/25/2003

Series 24

Date: 10/25/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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