Bruce A. Jones

CETERA INVESTMENT ADVISERS LLC

SAINT MARY'S, OH

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CRD#: 2218367

Professional summary

Bruce A Jones, who also goes by Bruce Alan Jones, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Saint Mary's, Ohio and CETERA WEALTH SERVICES, LLC located in Saint Mary's, Ohio.

Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Bruce has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce Alan 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.

GRANDLAKE INSURANCE CONSULTANTS LLC; Investment Related; Saint Marys, OH 45885; Insurance; Owner; Start Date 01/1986; 25 hours per month; Sales and service of fixed life and annuity products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce A 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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAINT MARY'S, OH

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Saint Mary's, OH

Past

February 9, 2018 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Saint Mary's, OH

Past

February 9, 2018 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Saint Mary's, OH

Past

January 27, 2016 - February 12, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

FORT WAYNE, IN

Past

December 11, 2015 - February 12, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

FORT WAYNE, IN

Past

August 3, 2011 - December 8, 2015

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

CELINA, OH

Past

July 13, 2011 - March 2, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

CELINA, OH

Past

July 7, 2011 - December 7, 2015

LPL FINANCIAL LLC

CRD#: 6413

CELINA, OH

Past

June 28, 2011 - July 15, 2011

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CELINA, OH

Past

June 10, 2011 - July 15, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

CELINA, OH

Past

January 2, 2009 - April 21, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CELINA, OH

Past

October 18, 1999 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CELINA, OH

Past

April 7, 1999 - April 21, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CELINA, OH

Past

May 23, 1997 - April 7, 1999

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

November 17, 1992 - May 29, 1997

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

June 15, 1992 - November 19, 1992

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

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

Florida
(2/20/2025)

Indiana
(2/20/2025)

Ohio
(2/20/2025)

IAR

Ohio
(2/20/2025)

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: 6/3/1998

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: 6/12/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/3/1995

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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Advisor Monitoring

Firm Stability Insights

Bruce A. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce A Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MARINER FINANCIAL SERVICES, INC.

VESTAX SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/12/1992

Series 24

Date: 1/3/1995

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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