TJ
Thomas M. Jones
KESTRA ADVISORY SERVICES
New Albany, IN 47150
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CRD#: 4588052
TJ
Professional summary
Thomas M Jones is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New Albany, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Jeffersonville, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE 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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: New Albany-Floyd County Education Foundation Investment Related: No Address: 2813 Grant Line Rd. New Albany IN 47150 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position: Board member. Start Date: 7/18/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Strategic and organizational planning; ensuring strong fiduciary oversight and financial management; fundraising and resource development Business Name: AssuredPartners Investment Related: Yes Address: 3620 Blackiston Boulevard, Suite 100 New Albany IN 47150 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position: Managing Director Start Date: 8/30/2002 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Manage office(s); sell/service investments, employee benefits and insurance Business Name: FLOYD COUNTY (INDIANA) POLICE MERIT BOARD POSITION: Merit Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/09/2023 ADDRESS: Frank C. Denzinger Criminal Justice Building, 311 Hauss Square, New Albany IN 47150 DESCRIPTION: The Merit Board holds regular monthly meetings throughout the year to transact business that pertains to the Floyd County (Indiana) Sheriff's Office. The Merit Board does not have any general day-to-day authority or responsibility over the Floyd County Sheriff's Office. The Merit Board does have jurisdiction over: Final approval of hiring, firing, demotion or serious disciplinary action (any suspension without pay over 15 days) of any merit officer unless on probation (within their first year). In cases of firing, demotion and serious discipline of a non-probationary merit officer, a fair public hearing can be conducted at the request of a merit officer or the Sheriff. The Merit Board also oversees the pension and disability plans for all the merit officers. Jail officers and other civilian employees (such as mechanics and clerical personnel) are not considered merit officers under this law. The Merit Board has no jurisdiction over hiring, firing, demotions or discipline of any of these Sheriff's employees. The Merit System holds the Sheriff accountable for keeping standards high in hiring and provides for fair and equitable treatment of officers. Regardless of whom the Sheriff is at any given time, this system of accountability, transparency, and fairness provides and keeps integrity on serious personnel issues in the Floyd County Sheriff's Office. Business Name: FLOYD COUNTY, INDIANA BUILDING CORPORATION POSITION: Member of the board of directors NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/22/2024 ADDRESS: 409 Bank Street, New Albany IN 47150 DESCRIPTION: Management of the corporation's affairs.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas M 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®
NoneExperience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3620 Blackiston Blvd Suite 100, New Albany, IN 47150RIA
CRD#: 283330
New Albany, IN
Current
December 2, 2002 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4500 Town Center Blvd Suite 200, Jeffersonville, IN 47130BD
CRD#: 42046
Jeffersonville, IN
Past
December 15, 2003 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
NEW ALBANY, IN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Alabama(3/8/2023)
RR
Arizona(8/24/2017)
RR
California(10/28/2015)
RR
Colorado(6/6/2018)
RR
Florida(5/13/2019)
RR
Georgia(2/16/2023)
RR
Indiana(12/2/2002)
IAR
Indiana(4/19/2016)
RR
Kentucky(1/29/2007)
RR
Louisiana(2/16/2023)
RR
Minnesota(9/4/2020)
RR
Missouri(11/7/2023)
RR
New York(2/24/2023)
RR
North Carolina(10/22/2019)
RR
Ohio(6/26/2020)
RR
South Carolina(3/3/2023)
RR
Tennessee(1/24/2022)
RR
Texas(2/23/2023)
RR
Virginia(4/13/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330New Albany, IN 47150TRUST BUT VERIFY
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