Charles L. Jones
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.
Charles Lucas Jones was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2014. Charles had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2022 - March 9, 2023
SCHECHTER INVESTMENT ADVISORS, LLC
December 8, 2016 - February 19, 2019
UBS FINANCIAL SERVICES INC.
December 8, 2016 - February 19, 2019
UBS FINANCIAL SERVICES INC.
February 23, 2015 - November 28, 2016
OSAIC FA, INC.
November 3, 2014 - November 28, 2016
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCHECHTER INVESTMENT ADVISORS, LLC
CRD#: 169114 / SEC#: 801-78607
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 3,076 |
| AUM (Assets Under Management) | $ 3,943,409,325 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 09/24/2024 | ||
| 04/03/2024 | ||
| 02/25/2023 | ||
| 10/25/2022 |
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.
