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MJ

Michael W. Jones

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 4248083
MJ

Professional summary

Michael Wayne Jones, who also goes by Michael W Jones, Michael Wayne Jones, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael W Jones | Michael Wayne 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.
ASSETMARK FINANCIAL, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 03/2020 - 160 HRS / MONTHLY, RIA BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED Name of Outside Business:Tahoe Time; Investment Related:No; Address of Outside Business:Carnelian Bay, Ca; Nature of Outside Business:Rental Property; Position:Owner; Start Date:11/9/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: I have an investment property in Tahoe that serves as a vacation rental.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Wayne Jones's 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

August 9, 2024 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
BD
CRD#: 126159
Elkhorn, NE
Past

July 27, 2021 - March 5, 2024

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
San Francisco, CA
Past

July 27, 2021 - March 5, 2024

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

June 25, 2020 - June 3, 2021

ASSETMARK, INC.

RIA
CRD#: 109018
Oakland, CA
Past

June 24, 2020 - June 3, 2021

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
CONCORD, CA
Past

September 21, 2006 - April 1, 2020

TD AMERITRADE, INC.

RIA
CRD#: 7870
Oakland, CA
Past

April 22, 2006 - April 1, 2020

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

January 10, 2006 - December 10, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Oakland, CA
Past

December 21, 2005 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX
Past

January 3, 2004 - November 1, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 27, 2000 - September 19, 2002

DAVIS DISTRIBUTORS, LLC

BD
CRD#: 7975
TUCSON, AZ

State Registrations and Notice Filings

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

RR
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

RR
California
(8/9/2024)
RR
Nebraska
(8/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/9/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/26/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/5/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NL
NORTHERN LIGHTS DISTRIBUTORS, LLC
AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Mailing Address
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Phone number
(855) 891-0091
Established
Nebraska since 12/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE ULTIMUS GROUP MIDCO, LLCSOLE MEMBER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVINPRESIDENT2960114
JAMES, DAVID KENNETHMANAGER6998721
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795
STRAIT, WILLIAM JOHNSECRETARY/GENERAL COUNSEL/MANAGER6123015

Disclosures

Regulatory Event1

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.

Company Information

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159Elkhorn, NE 68022

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