Michael W. Jones
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.
Michael Wayne Jones, who also goes by Michael W Jones, Michael Wayne Jones, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2024 - November 11, 2025
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 27, 2021 - March 5, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
July 27, 2021 - March 5, 2024
BLACKROCK INVESTMENTS, LLC
June 25, 2020 - June 3, 2021
ASSETMARK, INC.
June 24, 2020 - June 3, 2021
ASSETMARK BROKERAGE, LLC
September 21, 2006 - April 1, 2020
TD AMERITRADE, INC.
April 22, 2006 - April 1, 2020
TD AMERITRADE, INC.
January 10, 2006 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 21, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
January 3, 2004 - November 1, 2004
CITIGROUP GLOBAL MARKETS INC.
October 27, 2000 - September 19, 2002
DAVIS DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
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.
