Derek A. Jones

THE INSTITUTE

Austin, TX 78701

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CRD#: 5289800

Professional summary

Derek Allan Jones is a registered financial advisor currently at THE INSTITUTE located in Austin, Texas.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Derek has worked at 7 firms and has passed the Series 66, SIE, Series 31 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.

BCA DIESEL FUEL MASTERS, LLC, PRINCIPAL, SINCE 9/2014, FUEL RECLAMATION, 10 HRS/MTH. BUIS CAPITAL ADVISORS, LLC, PRINCIPAL, SINCE 9/2014, BUSINESS CONSULTING,5 HRS/MTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Allan 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®

None

Experience

Current

May 10, 2019 - Present

THE INSTITUTE

Office #1: 401 Congress Avenue 14th Floor, Austin, TX 78701

RIA

CRD#: 127207

Austin, TX

Past

January 26, 2017 - April 30, 2019

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

Austin, TX

Past

October 7, 2016 - January 25, 2017

SOWELL MANAGEMENT

RIA

CRD#: 127145

Austin, TX

Past

October 1, 2014 - August 12, 2016

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

Fort Worth, TX

Past

September 30, 2014 - June 19, 2017

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

AUSTIN, TX

Past

June 1, 2009 - October 16, 2014

MORGAN STANLEY

RIA

CRD#: 149777

AUSTIN, TX

Past

June 1, 2009 - October 16, 2014

MORGAN STANLEY

CRD#: 149777

AUSTIN, TX

Past

April 27, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

AUSTIN, TX

Past

April 9, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

AUSTIN, TX

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".

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 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

Texas
(5/10/2019)

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: 4/26/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/12/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/4/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/6/2007

General Securities Representative Examination

Current Firm

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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Contact information

Main Address

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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

Derek A. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Allan Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTE FOR WEALTH ADVISORS, INC.

SOWELL MANAGEMENT

DINOSAUR FINANCIAL GROUP, L.L.C

CONCERT WEALTH MANAGEMENT

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2007

SIE

Date: 8/12/2016

Series 31

Date: 5/4/2007

Series 7

Date: 4/6/2007

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

TRUST BUT VERIFY

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