Michael A. Jones

Some features on this profile are disabled

CRD#: 5488786

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael A Jones, who also goes by Michael Anthony Jones, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2012. Michael had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Anthony Jones

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2021 - June 12, 2023

WAVE DIGITAL ASSETS LLC

RIA

CRD#: 305726

LOS ANGELES, CA

Past

June 14, 2017 - October 19, 2020

GOLDMAN SACHS & CO. LLC

CRD#: 361

LOS ANGELES, CA

Past

November 6, 2012 - June 23, 2015

PIMCO INVESTMENTS LLC

CRD#: 154957

NEWPORT BEACH, CA

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".

WAVE DIGITAL ASSETS LLC

WAVE DIGITAL ASSETS LLC | WAVE FINANCIAL LLC

CRD#: 305726 / SEC#: 801-121282

RIA

Registered Investment Advisory firm - (5/21/2021 Approved)

California

Registered Investment Advisory firm - (7/14/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/21/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/7/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/5/2012

General Securities Representative Examination

Current Firm

WAVE DIGITAL ASSETS LLC

WAVE DIGITAL ASSETS LLC | WAVE FINANCIAL LLC

CRD#: 305726 / SEC#: 801-121282

RIA

Registered Investment Advisory firm - (5/21/2021 Approved)

California

Registered Investment Advisory firm - (7/14/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12400 Wilshire Boulevard, Los Angeles, CA 90025

Mailing Address

Phone number

(213) 533-9899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVE DIGITAL ASSETS LLC ADV PART 2A BROCHURE (5/9/2025)

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 351,570,475

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

PIMCO INVESTMENTS LLC

Primary Firm SEC Registration

WAVE DIGITAL ASSETS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2017

Series 63

Date: 12/21/2012

SIE

Date: 10/1/2018

Series 3

Date: 7/7/2017

Series 7

Date: 11/5/2012

Current Firm

WAVE DIGITAL ASSETS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAVE DIGITAL ASSETS LLC

TRUST BUT VERIFY

Similar Advisors