Robert J. Jones

INVESTOR ADVISORY GROUP

CHARLOTTE, NC 28211

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CRD#: 6238384

Professional summary

Robert Joel Jones is a registered financial advisor currently at INVESTOR ADVISORY GROUP located in Charlotte, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Robert has worked at 2 firms and has passed the Series 65, Series 63, SIE 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.

SINGER IN MYERS PARK PRESBYTERIAN CHURCH CHOIR. CHARLOTTE, NC. SING IN CHOIR FOR COMPENSATION. NOT INVESTMENT RELATED. APPROXIMATELY 24 HOURS PER MONTH, 0 HOURS DURING TRADING, START DATE 06/2014.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joel 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

February 10, 2016 - Present

INVESTOR ADVISORY GROUP

Office #1: 421 South Sharon Amity Road Suite A, Charlotte, NC 28211

RIA

CRD#: 106837

CHARLOTTE, NC

Past

October 16, 2013 - December 9, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

INVESTOR ADVISORY GROUP

HARKEY CORP | INVESTOR ADVISORY GROUP, LLC | INVESTOR ADVISORY GROUP

CRD#: 106837 / SEC#: 801-79417

RIA

Registered Investment Advisory firm - (4/2/2014 Approved)

Louisiana

Registered Investment Advisory firm - (6/9/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (4/3/2014 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

North Carolina
(2/10/2016)

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 65

Date: 2/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2013

General Securities Representative Examination

Current Firm

INVESTOR ADVISORY GROUP

HARKEY CORP | INVESTOR ADVISORY GROUP, LLC | INVESTOR ADVISORY GROUP

CRD#: 106837 / SEC#: 801-79417

RIA

Registered Investment Advisory firm - (4/2/2014 Approved)

Louisiana

Registered Investment Advisory firm - (6/9/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (4/3/2014 Terminated)

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Contact information

Main Address

421 South Sharon Amity Road Suite A, Charlotte, NC 28211

Mailing Address

338 S Sharon Amity Road #357, Charlotte, NC 28211

Phone number

(704) 366-1120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTOR ADVISORY GROUP BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	435
AUM (Assets Under Management)	$ 152,734,301

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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Robert J. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joel Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTOR ADVISORY GROUP

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

INVESTOR ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/2016

Series 63

Date: 9/25/2013

SIE

Date: 12/9/2015

Series 7

Date: 10/16/2013

Current Firm

INVESTOR ADVISORY GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTOR ADVISORY GROUP

TRUST BUT VERIFY

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