Stephen C. Jones
CETERA INVESTMENT ADVISERS LLC
NORMAN, OK 73069
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CRD#: 6464506
Professional summary
Stephen Clarke Jones, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Norman, Oklahoma and CETERA WEALTH SERVICES, LLC located in Edmond, Oklahoma.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
(1) NAME OF ENTITY: Taylor| Basden & Associates; Yes; 717 Wall Street; Norman; OK; 73069; FINANCIAL SERVICES/DBA; Associate; 2/10/2019; 100; 40; Meeting with school administration, participants and their spouses. Enrollment of employees in employer plans.| (2) NAME OF ENTITY: Clarke Financial LLC; No; 717 Wall St.; Norman; OK; 73069; Establishing an LLC for payroll.; Owner; 9/1/2020; 8; 8; Payroll bank account to pay NRAP.| (3) NAME OF ENTITY: Jones Financial Partners; Yes; 717 Wall St.; Norman; OK; 73069; Financial Services/dba; President; 4/1/2021; 240; 160; Sale and Service Insurance, Securities and Investment Products.| (4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; (5) NAME OF OTHER BUSINESS: JONES FINANCIAL PARTNERS - REFERRAL FEE INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ESTATE PLANNING START DATE: 05/2025, POSITION/TITLE/RELATIONSHIP: OWNER , APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: RECEIVE REFERRAL FEES FROM ESTATE PLANNERS I REFER SERVICES FOR TRUSTS, WILLS, POA, AND HEALTH DIRECTIVES.;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Clarke Jones's 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®
CFP®
Start date: 2019
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 717 Wall Street, Norman, OK 73069Office #2: 2360 Nowata Place Suite A, Bartlesville, OK 74006Office #3: 2232 Nw 164th St, Edmond, OK 73013RIA
CRD#: 105644
NORMAN, OK
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2232 Nw 164th St, Edmond, OK 73013Office #2: 2360 Nowata Place Suite A, Bartlesville, OK 74006Office #3: 717 Wall Street, Norman, OK 73069BD
CRD#: 13572
Edmond, OK
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 4, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
NORMAN, OK
Past
October 14, 2015 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
NORMAN, OK
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/19/2023)
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(8/16/2024)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Idaho(9/16/2024)
RR
Indiana(6/9/2021)
RR
Iowa(12/20/2023)
RR
Kansas(6/9/2021)
RR
Kentucky(5/1/2024)
RR
Louisiana(6/9/2021)
RR
Michigan(6/9/2021)
RR
Minnesota(6/9/2021)
RR
Mississippi(4/18/2024)
RR
Missouri(6/9/2021)
RR
Montana(9/20/2021)
RR
Nebraska(3/23/2023)
RR
Nevada(12/20/2023)
RR
North Dakota(6/9/2021)
RR
Oklahoma(6/9/2021)
IAR
Oklahoma(6/29/2023)
RR
Pennsylvania(6/9/2021)
RR
Tennessee(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Vermont(6/9/2021)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
