Chad Jones
Professional summary
Chad Jones, who also goes by Chadwick Lee Jones, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Wilkesboro, North Carolina and CETERA INVESTMENT SERVICES LLC located in North Wilkesboro, North Carolina.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Chad has worked at 5 firms and has passed the Series 65, Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Chad Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1404 West D Street, North Wilkesboro, NC 28659May 31, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1404 West D Street, North Wilkesboro, NC 28659August 27, 2013 - October 2, 2017
BB&T INVESTMENT SERVICES, INC.
August 27, 2013 - October 2, 2017
BB&T INVESTMENT SERVICES, INC.
October 10, 2012 - August 16, 2013
PNC WEALTH MANAGEMENT LLC
October 10, 2012 - August 16, 2013
PNC WEALTH MANAGEMENT LLC
September 22, 2005 - September 17, 2012
BB&T INVESTMENT SERVICES, INC.
September 22, 2005 - September 17, 2012
BB&T INVESTMENT SERVICES, INC.
April 4, 2002 - December 31, 2004
COASTAL DISCOUNT STOCKBROKERS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2019)
(5/31/2018)
(6/1/2018)
(2/6/2020)
(5/31/2018)
(4/14/2025)
(2/22/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/15/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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