MJ
Michael S. Jones
CETERA INVESTMENT ADVISERS LLC
BURLINGTON, WA 98233
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CRD#: 2124573
MJ
Professional summary
Michael Stephen Jones, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Burlington, Washington and CETERA ADVISORS LLC located in Burlington, Washington.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 8 firms and has passed the Series 65, Series 63, Series 62, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 8/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, DISABILITIES, ANNUITIES, AND LONG TERM CARE;
2. NAME OF OTHER BUSINESS: HAWES SCUBA ACCESSORIES, INC,
INVESTMENT RELATED: NO,
ADDRESS: 336A E. FAIRHAVEN AVE BURLINGTON WA 98233,
NATURE OF BUSINESS: REAL ESTATE INVESMENT & PROPERTY MANAGEMENT,
START DATE:2004,
APX NUMBER OF HOURS PER WEEK: 2,
APX NUMBER OF TRADING HOURS PER WEEK: 2,
POSITION/TITLE/RELATIONSHIP: 50% OWNER,
3. NAME OF OTHER BUSINESS: FINANCIAL SERVICES GROUP,
INVESTMENT RELATED: YES,
ADDRESS: 336A E. FAIRHAVEN AVE BURLINGTON WA 98233,
NATURE OF BUSINESS: DBA FOR INSURANCE SALES & ANNUITY SALES,
START DATE: 3/1991,
APX NUMBER OF HOURS PER WEEK: 25,
APX NUMBER OF TRADING HOURS PER WEEK: 25,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: SALES;
4. NAME OF OTHER BUSINESS: FSG LLC DBA LOLA'S INTL KITCHEN;
INVESTMENT RELATED: NO;
ADDRESS: 336 E FAIRHAVEN AVE SUITE C, BURLINGTON, WA 98233
NATURE OF BUSINESS: RESTAURANT;
START DATE: 04/2019;
POSITION/TITLE/RELATIONSHIP: OPERATIONS / CHEF / OWNER;
APX NUMBER OF HOURS PER WEEK: 10;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: OPERATIONS / CHEF / OWNER;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Stephen 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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 336a E. Fairhaven Ave, Burlington, WA 98233RIA
CRD#: 105644
BURLINGTON, WA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 336a E. Fairhaven Ave, Burlington, WA 98233BD
CRD#: 10299
BURLINGTON, WA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SPOKANE, WA
Past
July 6, 2010 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BURLINGTON, WA
Past
July 6, 2010 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BURLINGTON, WA
Past
August 1, 2008 - July 7, 2010
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
BURLINGTON, WA
Past
August 1, 2008 - July 7, 2010
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
BURLINGTON, WA
Past
April 12, 1996 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
BURLINGTON, WA
Past
April 13, 1993 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
BURLINGTON, WA
Past
December 10, 1992 - April 26, 1993
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
February 13, 1991 - May 6, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
February 13, 1991 - May 6, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(10/3/2016)
RR
Arizona(10/3/2016)
RR
Colorado(11/13/2023)
RR
Florida(10/4/2016)
RR
Idaho(10/3/2016)
RR
Indiana(8/28/2024)
RR
Kentucky(1/6/2021)
RR
Mississippi(1/20/2017)
RR
Montana(10/3/2016)
RR
Texas(1/24/2023)
IAR
Texas(3/21/2024)
RR
Washington(10/3/2016)
IAR
Washington(3/21/2024)
RR
Wisconsin(10/3/2016)
RR
Wyoming(10/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 12/5/2018
Corporate Securities Limited Representative ExaminationGeneral 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
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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.
