Roland S. Jones

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CRD#: 732011

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.

Roland Sutton Jones JR, who also goes by Roland S Jones, was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 1981. Roland had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roland S 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.

1. PRESIDENT AND INVESTMENT ADVISORY REPRESENTATIVE WITHC CAPITAL ADVISERS, INC. PROVIDING ADVISORY SALES AND SERVICE. OVER 160 HOURS/MONTH SPENT ON ACTIVITY WITH > 95% OF ALL TRADING HOURS SPENT ON SUCH ACTIVITY. LOCATED AT OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT ACTIVITY PER NASD. BEGUN IN 1996.

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

April 18, 2007 - December 31, 2024

CAPITAL ADVISERS, INC.

RIA

CRD#: 118442

RALEIGH, NC

Past

January 20, 1989 - December 31, 2021

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

March 18, 1987 - April 24, 1991

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

May 9, 1986 - February 7, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

Past

May 29, 1981 - March 24, 1982

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

May 29, 1981 - April 15, 1982

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

May 29, 1981 - April 15, 1982

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

CAPITAL ADVISERS, INC.

CRD#: 118442 / SEC#: 801-63487

RIA

Registered Investment Advisory firm - (9/3/2004 Approved)

North Carolina

Registered Investment Advisory firm - (1/7/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (8/4/2004 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 65

Date: 9/10/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/29/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1986

General Securities Principal Examination

Current Firm

CAPITAL ADVISERS, INC.

CRD#: 118442 / SEC#: 801-63487

RIA

Registered Investment Advisory firm - (9/3/2004 Approved)

North Carolina

Registered Investment Advisory firm - (1/7/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (8/4/2004 Terminated)

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Contact information

Main Address

100 East Six Forks Road, Suite 250, Raleigh, NC 27609

Mailing Address

Phone number

(919) 865-1930

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ADVISERS, INC., ADV, BROCHURE, AND SUPPLEMENT, UPDATED JANUARY 31, 2025 (3/31/2025)

CAPITAL ADVISERS, INC., ADV, THE BROCHURE AND SUPPLEMENT, UPDATED JANUARY 31, 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,451
AUM (Assets Under Management)	$ 503,514,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Roland S. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

1717 CAPITAL MANAGEMENT COMPANY

LOWRY FINANCIAL SERVICES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

CAPITAL ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1992

Series 63

Date: 4/21/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Series 6

Date: 5/29/1981

Series 24

Date: 4/21/1986

Current Firm

CAPITAL ADVISERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ADVISERS, INC.

TRUST BUT VERIFY

Contact information

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