AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check
RJ

Rick H. Jones

TREK FINANCIAL
Lake Havasu City, AZ 86403
Some features on this profile are disabled
CRD#: 4358520
RJ

Professional summary


Rick Harold Jones SR is a registered financial advisor currently at TREK FINANCIAL located in Lake Havasu City, Arizona.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Rick has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
LICENSED INSURANCE AGENT - LIFE AND HEALTH

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Rick Harold Jones SR'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

August 28, 2017 - Present

TREK FINANCIAL

Office #1: 2153 Mcculloch Blvd, Lake Havasu City, AZ 86403
RIA
CRD#: 109376
Lake Havasu City, AZ
Past

August 5, 2015 - December 16, 2016

WORLD EQUITY GROUP, INC.

RIA
CRD#: 29087
Lake Havasu, AZ
Past

August 5, 2015 - December 16, 2016

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
Lake Havasu, AZ
Past

June 1, 2005 - August 6, 2015

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LAKE HAVASU CITY, AZ
Past

June 1, 2005 - August 6, 2015

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LAKE HAVASU CITY, AZ
Past

December 2, 2003 - June 1, 2005

MONY SECURITIES CORPORATION

RIA
CRD#: 4386
LAKE HAVASU CITY, AZ
Past

December 2, 2003 - June 1, 2005

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

October 11, 2001 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

RIA
CRD#: 24049
LAKE HAVASU CITY, AZ
Past

August 9, 2001 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

BD
CRD#: 24049
NEW YORK, NY
Past

March 5, 2001 - May 17, 2001

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.

CRD#: 109376 / SEC#: 801-58087

RIA
Registered Investment Advisory firm - (11/15/2000 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.

Highlighted states indicate IAR registrations

IAR
Arizona
(8/28/2017)

Exams


State Security Law Exam
IAR
Series 65
Date: 10/2/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam

Current Firm


TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.

CRD#: 109376 / SEC#: 801-58087

RIA
Registered Investment Advisory firm - (11/15/2000 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56

SEC notice filing (40 States and Territories)


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

Documents


Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TREK FINANCIAL 2A BROCHURE (10/28/2025)

Regulatory assets under management


Total Number of Accounts11,057
AUM (Assets Under Management)$ 2,492,708,552

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


TREK FINANCIAL

CRD#: 109376Lake Havasu City, AZ 86403

TRUST BUT VERIFY

Monitor Rick Jones

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Julie Ann Danapilis
Julie DanapilisAdvisorCheck Check Mark
THRIVENT INVESTMENT MANAGEMENT INC.
PR
MINNEAPOLIS, MN
Spiros Vassilakos
Spiros VassilakosAdvisorCheck Check Mark
CSENGE ADVISORY GROUP, LLC
IAR
Tarpon Springs, FL
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.