James M. Jones

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CRD#: 2728817

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.

James Matthew Jones, who also goes by Jim Jones, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1996. James had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim 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

June 16, 2023 - January 29, 2025

STRATEGIC WEALTH INVESTMENT GROUP, LLC

RIA

CRD#: 165474

LOUISVILLE, KY

Past

April 13, 2023 - July 11, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

March 27, 2006 - September 6, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HAGERSTOWN, MD

Past

March 7, 2006 - September 6, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

HAGERSTOWN, MD

Past

February 11, 2005 - August 31, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

MIDLOTHIAN, VA

Past

February 11, 2005 - August 31, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

July 29, 2004 - February 16, 2005

BI INVESTMENTS, LLC

RIA

CRD#: 125437

MIDLOTHIAN, VA

Past

June 22, 2004 - February 16, 2005

BI INVESTMENTS, LLC

CRD#: 125437

GLEN ALLEN, VA

Past

February 6, 2004 - July 15, 2004

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

April 2, 2001 - April 12, 2002

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

March 16, 1998 - January 18, 2000

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

April 11, 1996 - March 27, 1998

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

STRATEGIC WEALTH INVESTMENT GROUP, LLC

STRATEGIC WEALTH DESIGNERS | STRATEGIC WEALTH INVESTMENT GROUP, LLC | STRATEGIC WEALTH DESIGNERS, LLC

CRD#: 165474 / SEC#: 801-117642

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Indiana

Registered Investment Advisory firm - (11/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/25/2019 Terminated)

Ohio

Registered Investment Advisory firm - (11/20/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 4/26/2023

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/27/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/13/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/15/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 4/10/1996

Municipal Securities Representative Examination

Current Firm

STRATEGIC WEALTH INVESTMENT GROUP, LLC

STRATEGIC WEALTH DESIGNERS | STRATEGIC WEALTH INVESTMENT GROUP, LLC | STRATEGIC WEALTH DESIGNERS, LLC

CRD#: 165474 / SEC#: 801-117642

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Indiana

Registered Investment Advisory firm - (11/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/25/2019 Terminated)

Ohio

Registered Investment Advisory firm - (11/20/2019 Terminated)

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Contact information

Main Address

Louisville, KY

Mailing Address

Phone number

(502) 412-3354

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/30/2025)

Regulatory assets under management

Total Number of Accounts	7,626
AUM (Assets Under Management)	$ 1,110,956,980

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

James M. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BI INVESTMENTS, LLC

BI INVESTMENTS, LLC

TOWER SQUARE SECURITIES, INC.

TRUIST INVESTMENT SERVICES, INC.

WACHOVIA SECURITIES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

STRATEGIC WEALTH INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2023

Series 65

Date: 7/27/2004

Series 63

Date: 4/17/1996

Series 7TO

Date: 4/13/2023

SIE

Date: 3/15/2023

Series 7

Date: 7/25/1996

Series 52

Date: 4/10/1996

Current Firm

STRATEGIC WEALTH INVESTMENT GROUP, LLC

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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