Arthur S. Jones

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CRD#: 2171849

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.

Arthur Stephen Jones, who also goes by Steve Jones, was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1991. Arthur had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2009 - January 9, 2017

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

October 27, 1998 - January 9, 2017

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

January 2, 1996 - October 22, 1998

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 13, 1995 - December 31, 1995

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

Past

September 27, 1993 - November 2, 1994

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

April 9, 1992 - October 15, 1992

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

September 3, 1991 - November 20, 1991

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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".

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/7/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/30/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/1994

General Securities Principal Examination

Current Firm

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 Approved)

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Contact information

Main Address

One Post Office Square, Boston, MA 02109

Mailing Address

Phone number

(617) 482-8260

Established

Firm type

Fiscal year end

# of Employees

247

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVM FORM ADV PART 2A BROCHURE (6/18/2025)

Regulatory assets under management

Total Number of Accounts	4,053
AUM (Assets Under Management)	$ 84,879,368,900

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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Advisor Monitoring

Firm Stability Insights

Arthur S. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EATON VANCE DISTRIBUTORS, INC.

ESSEX NATIONAL SECURITIES, LLC

SAFEGUARD SECURITIES, INC.

MARKETING ONE SECURITIES, INC.

IFMG SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

EATON VANCE MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2001

Series 63

Date: 9/13/1991

SIE

Date: 1/9/2017

Series 7

Date: 2/17/1994

Series 6

Date: 8/30/1991

Series 24

Date: 3/16/1994

Current Firm

EATON VANCE MANAGEMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EATON VANCE MANAGEMENT

TRUST BUT VERIFY

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