Brian S. Jones

PROVIDENCE CAPITAL ADVISORS

Charlotte, NC 28211

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CRD#: 4508120

Professional summary

Brian Summers Jones, CFP® is a registered financial advisor currently at PROVIDENCE CAPITAL ADVISORS, LLC located in Charlotte, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Brian has worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Summers 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: 2006

Experience

Current

February 2, 2015 - Present

PROVIDENCE CAPITAL ADVISORS, LLC

Office #1: 4500 Cameron Valley Parkway Suite 270, Charlotte, NC 28211

RIA

CRD#: 174631

Charlotte, NC

Past

April 17, 2009 - February 5, 2015

WILLINGDON WEALTH MANAGEMENT LLC

RIA

CRD#: 129613

HUNTERSVILLE, NC

Past

February 2, 2006 - March 20, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

February 2, 2006 - March 20, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

March 18, 2002 - November 1, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, 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".

PROVIDENCE CAPITAL ADVISORS, LLC

CRD#: 174631 / SEC#: 801-107683

RIA

Registered Investment Advisory firm - (4/19/2016 Approved)

Louisiana

Registered Investment Advisory firm - (7/5/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (7/5/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2016 Terminated)

Virginia

Registered Investment Advisory firm - (7/1/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(2/2/2015)

IAR

Texas
(9/14/2015)

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 66

Date: 3/8/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/23/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/15/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROVIDENCE CAPITAL ADVISORS, LLC

CRD#: 174631 / SEC#: 801-107683

RIA

Registered Investment Advisory firm - (4/19/2016 Approved)

Louisiana

Registered Investment Advisory firm - (7/5/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (7/5/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2016 Terminated)

Virginia

Registered Investment Advisory firm - (7/1/2016 Terminated)

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Contact information

Main Address

4500 Cameron Valley Parkway Suite 270, Charlotte, NC 28211

Mailing Address

Phone number

(704) 215-4420

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (5/14/2025)

Regulatory assets under management

Total Number of Accounts	2,494
AUM (Assets Under Management)	$ 916,266,963

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/10/2025	Cover Page	Report
01/31/2024	Cover Page	Report
01/20/2023	Cover Page	Report

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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Firm Stability Insights

Brian S. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Summers Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLINGDON WEALTH MANAGEMENT LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

PROVIDENCE CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2006

Series 63

Date: 3/18/2002

Series 7

Date: 2/23/2006

Series 6

Date: 3/15/2002

Current Firm

PROVIDENCE CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROVIDENCE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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