Mark B. Jones

RISE ADVISORS

Rochester, NY 14625

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CRD#: 4442200

Professional summary

Mark Bradford Jones, CFP® is a registered financial advisor currently at RISE ADVISORS, LLC located in Rochester, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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. Independent Insurance Agent, Sole Proprietor, Start: 02/02, 90 Linden Oaks Suite 220, Rochester, NY 14625, Insurance Agency/Agent of Life, LTC & Fixed Annuities, Not Investment related, 15 hours per month, <1 hour per day during trading hours. 2. Cornell Club of Rochester, 501c(3), Start: 07/01/14, 16 Oak Meadow Trail Pittsford, NY 14534, Non-Profit Alumni Chapter for Cornell University, Board of Directors, Not Investment related, 2 hours per month, 0 hours per day during trading hours. 3. St. John Fisher College, Education, Start: 09/06/11, 3690 East Avenue Rochester, NY 14618, College/Adjunct Professor, Not Investment Related, 8 hours per month, 0 hours per day during trading hours. 4. Rise Advisors, LLC, Start Date: 7/16/2020, 400 Linden Oaks, Ste. 120, Rochester, NY 14625, LLC, Registered Investment Adviser, IAR, IAR of RIA, Investment Related, 30 Hours per month, 2 Hours per day during trading hours. 5. Tree of Hope Foundation, Start Date: 2024-03-26, 2300 East Avenue Rochester NY 14610, Board Member, investment related: No, 2 Hours per month, 2 Hours per day during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Bradford 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: 2008

Experience

Current

August 28, 2020 - Present

RISE ADVISORS, LLC

Office #1: 400 Linden Oaks Suite 120, Rochester, NY 14625

RIA

CRD#: 309760

Rochester, NY

Past

January 6, 2017 - October 15, 2020

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

ROCHESTER, NY

Past

November 17, 2016 - December 31, 2016

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

ROCHESTER, NY

Past

September 6, 2016 - March 23, 2022

MUTUAL SECURITIES, INC.

CRD#: 13092

Rochester, NY

Past

January 4, 2008 - September 2, 2016

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

ROCHESTER, NY

Past

September 19, 2006 - December 31, 2007

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

ROCHESTER, NY

Past

December 5, 2005 - September 2, 2016

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

ROCHESTER, NY

Past

March 17, 2003 - December 12, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 10, 2002 - December 20, 2002

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

October 26, 2001 - January 31, 2002

KBD SECURITIES, LLC

CRD#: 104110

NEW YORK, NY

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".

RISE ADVISORS, LLC

CRD#: 309760 / SEC#: 801-119066

RIA

Registered Investment Advisory firm - (7/16/2020 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

New York
(11/9/2022)

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 65

Date: 8/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/20/2001

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: 10/25/2001

General Securities Representative Examination

Current Firm

RISE ADVISORS, LLC

CRD#: 309760 / SEC#: 801-119066

RIA

Registered Investment Advisory firm - (7/16/2020 Approved)

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Contact information

Main Address

400 Linden Oaks Suite 120, Rochester, NY 14625

Mailing Address

Phone number

(585) 565-3444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORMADVBROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,169
AUM (Assets Under Management)	$ 340,850,820

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 B. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NORTHLANDING FINANCIAL PARTNERS, LLC

NORTHLANDING FINANCIAL PARTNERS, LLC

MUTUAL SECURITIES, INC.

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

NEW ENGLAND SECURITIES

CAMBRIDGE INVESTMENT RESEARCH, INC.

KBD SECURITIES, LLC

Primary Firm SEC Registration

RISE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2006

Series 63

Date: 11/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2001

Current Firm

RISE ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RISE ADVISORS, LLC

TRUST BUT VERIFY

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