Mark A. Jones

REGAL INVESTMENT ADVISORS LLC

Capron, IL

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CRD#: 3215179

Professional summary

Mark Andrew Jones, CFP® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Capron, Illinois and REGULUS FINANCIAL GROUP, LLC located in Capron, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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) GRACE REFORMED BAPTIST CHURCH, 6310 GUILFORD RD, ROCKFORD, IL 61107, CHURCH, DEACON, AUGUST 2014, 9 HRS/MONTH DURING NON-TRADING HOURS, ASSIST IN OVERSEEING FINANCES OF THE CHURCH AND OTHER GENERAL CHURCH RELATED MATTERS THAT ARISE REGARDING THE BUILDING, POLICIES, ETC. ALSO ASSIST IN HANDLING THE DEPOSITS/CONTRIBUTIONS OF MEMBERS AND NON-MEMBERS AND ALSO PAY BILLS. 2)OWNER OF JONES WEALTH MANAGEMENT, LLC. INSURANCE AGENCY. LOCATED AT 427 WEST EDSON STREET, POPLAR GROVE, IL, 61065. THIS IS NOT INVESTMENT RELATED. RECEIVES COMMISSIONS. INSURANCE & FIXED ANNUITY SALES. DEVOTES APPROX 2 HOURS PER MONTH AND 2 HOURS DURING TRADING HOURS. STARTED 9/1/2020.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew 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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

September 2, 2020 - Present

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Capron, IL

Current

September 2, 2020 - Present

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Capron, IL

Past

May 3, 2007 - September 3, 2020

BATES FINANCIAL ADVISORS, INC.

RIA

CRD#: 116515

ROCKFORD, IL

Past

August 12, 1999 - September 3, 2020

BATES SECURITIES, INC.

CRD#: 10759

ROCKFORD, IL

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".

REGAL INVESTMENT ADVISORS LLC

CRD#: 125004 / SEC#: 801-71923

RIA

Registered Investment Advisory firm - (10/19/2010 Approved)

Alaska

Registered Investment Advisory firm - (10/21/2010 Terminated)

Florida

Registered Investment Advisory firm - (10/21/2010 Terminated)

Indiana

Registered Investment Advisory firm - (10/21/2010 Terminated)

Michigan

Registered Investment Advisory firm - (11/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (10/22/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (10/21/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

Ohio

Registered Investment Advisory firm - (10/21/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/22/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (10/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/21/2010 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.

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
(9/2/2020)

California
(9/2/2020)

Colorado
(9/2/2020)

Connecticut
(3/19/2024)

Florida
(9/2/2020)

Georgia
(9/2/2020)

Illinois
(9/2/2020)

IAR

Illinois
(9/2/2020)

Indiana
(9/2/2020)

Iowa
(9/2/2020)

Kentucky
(9/2/2020)

Louisiana
(9/2/2020)

Michigan
(9/2/2020)

Minnesota
(9/2/2020)

Missouri
(6/5/2024)

Montana
(9/2/2020)

North Carolina
(1/5/2024)

Oregon
(9/2/2020)

South Carolina
(9/2/2020)

Texas
(9/2/2020)

Virginia
(4/6/2021)

Washington
(9/2/2020)

Wisconsin
(9/2/2020)

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: 4/23/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1999

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: 3/11/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

REGAL INVESTMENT ADVISORS LLC

CRD#: 125004 / SEC#: 801-71923

RIA

Registered Investment Advisory firm - (10/19/2010 Approved)

Alaska

Registered Investment Advisory firm - (10/21/2010 Terminated)

Florida

Registered Investment Advisory firm - (10/21/2010 Terminated)

Indiana

Registered Investment Advisory firm - (10/21/2010 Terminated)

Michigan

Registered Investment Advisory firm - (11/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (10/22/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (10/21/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

Ohio

Registered Investment Advisory firm - (10/21/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/22/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (10/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/21/2010 Terminated)

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Contact information

Main Address

2687 44th Street Se, Kentwood, MI 49512

Mailing Address

Phone number

(616) 224-2204

Established

Firm type

Fiscal year end

# of Employees

118

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISOR CHOICE PROGRAM (4/25/2025)

LIONSHARE ADV PART 2A DISCLOSURE BROCHURE (4/25/2025)

REGAL INVESTMENT ADVISORS LLC ADV BROCHURE (4/25/2025)

Regulatory assets under management

Total Number of Accounts	12,303
AUM (Assets Under Management)	$ 2,447,941,075

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/06/2023	Cover Page	Report
12/06/2023	Cover Page	Report
12/06/2023	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

Mark A. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGULUS FINANCIAL GROUP, LLC

BATES FINANCIAL ADVISORS, INC.

BATES SECURITIES, INC.

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/2007

Series 63

Date: 6/9/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2010

Series 6

Date: 8/12/1999

FINRA

Current Firm

REGAL INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGAL INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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