James M. Jones

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CRD#: 5814229

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.

James Martin Jones was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2010. James had worked at 3 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

March 6, 2012 - December 31, 2012

REGAL ADVISORY SERVICES, INC.

RIA

CRD#: 123842

SAINT CHARLES, IL

Past

March 6, 2012 - December 31, 2012

REGAL SECURITIES, INC.

CRD#: 7297

GLENVIEW, IL

Past

October 14, 2010 - February 7, 2012

MORGAN STANLEY

RIA

CRD#: 149777

GENEVA, IL

Past

August 9, 2010 - February 7, 2012

MORGAN STANLEY

CRD#: 149777

GENEVA, IL

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".

REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA

Registered Investment Advisory firm - (7/12/2010 Approved)

Arizona

Registered Investment Advisory firm - (8/14/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (8/2/2010 Terminated)

Connecticut

Registered Investment Advisory firm - (7/13/2010 Terminated)

Delaware

Registered Investment Advisory firm - (7/13/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2012 Terminated)

Georgia

Registered Investment Advisory firm - (9/24/2010 Terminated)

Hawaii

Registered Investment Advisory firm - (12/31/2010 Terminated)

Idaho

Registered Investment Advisory firm - (7/14/2010 Terminated)

Illinois

Registered Investment Advisory firm - (8/14/2012 Terminated)

Indiana

Registered Investment Advisory firm - (7/13/2010 Terminated)

Iowa

Registered Investment Advisory firm - (7/13/2010 Terminated)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (7/13/2010 Terminated)

Louisiana

Registered Investment Advisory firm - (7/21/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/14/2010 Terminated)

Mississippi

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (7/13/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (7/14/2010 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2012 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/13/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (9/21/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (7/13/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/13/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (8/14/2012 Terminated)

Oregon

Registered Investment Advisory firm - (7/15/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (8/12/2010 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Utah

Registered Investment Advisory firm - (8/12/2010 Terminated)

Vermont

Registered Investment Advisory firm - (8/14/2012 Terminated)

Virginia

Registered Investment Advisory firm - (7/13/2010 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/13/2010 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: 8/26/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/21/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/6/2010

General Securities Representative Examination

Current Firm

REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA

Registered Investment Advisory firm - (7/12/2010 Approved)

Arizona

Registered Investment Advisory firm - (8/14/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (8/2/2010 Terminated)

Connecticut

Registered Investment Advisory firm - (7/13/2010 Terminated)

Delaware

Registered Investment Advisory firm - (7/13/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2012 Terminated)

Georgia

Registered Investment Advisory firm - (9/24/2010 Terminated)

Hawaii

Registered Investment Advisory firm - (12/31/2010 Terminated)

Idaho

Registered Investment Advisory firm - (7/14/2010 Terminated)

Illinois

Registered Investment Advisory firm - (8/14/2012 Terminated)

Indiana

Registered Investment Advisory firm - (7/13/2010 Terminated)

Iowa

Registered Investment Advisory firm - (7/13/2010 Terminated)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (7/13/2010 Terminated)

Louisiana

Registered Investment Advisory firm - (7/21/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/14/2010 Terminated)

Mississippi

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (7/13/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (7/14/2010 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2012 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/13/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (9/21/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (7/13/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/13/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (8/14/2012 Terminated)

Oregon

Registered Investment Advisory firm - (7/15/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (8/12/2010 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Utah

Registered Investment Advisory firm - (8/12/2010 Terminated)

Vermont

Registered Investment Advisory firm - (8/14/2012 Terminated)

Virginia

Registered Investment Advisory firm - (7/13/2010 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/13/2010 Terminated)

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Contact information

Main Address

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771

Mailing Address

Phone number

(877) 488-6537

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (8/12/2025)

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 113,536,443

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

James M. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGAL ADVISORY SERVICES, INC.

REGAL SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

REGAL ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2010

Series 31

Date: 9/21/2010

Series 7

Date: 8/6/2010

Current Firm

REGAL ADVISORY SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGAL ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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