WJ
W S. Jones
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Greenville, SC 29601
Some features on this profile are disabled
CRD#: 867147
WJ
Professional summary
W Stephen Jones, CFP®, who also goes by William Stephen Jones, Steve Jones, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Greenville, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Greenville, South Carolina.
W is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. W has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Stephen Jones | Steve 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AD ADVISORY REP OF RIA, INVREL, 20HRS/WK, 20HR/TRADING, SEE EMPLOYMENT HISTORY FOR START DATE 2) JONES INVESTMENTS, 510 REED RD, ANDERSON, SC, 3/1987, AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INVREL, 5HRS/WK, 0HRS/TRADING 3) JONES INVESTMENTS, 510 REED RD, ANDERSON, SC, 3/1987, AS FINANCIAL PROFESSIONAL UTILIZING DBA NAME, INVREL, 60HRS/WK, 8HRS/TRADING 4) JONES INVESTMENTS, 510 REED RD, ANDERSON, SC, 4/2017, AS OWNER/PARTNER OF LLC, INVREL, 60HRS/WK, 8HRS/TRADING. 5) FWM HOLDINGS, LLC, 510 REED RD, ANDERSON, SC, LLC, CO-OWNER PARTNER, NIR, 05/21/19, 2/MO- 0/TRADING 6) JONES FAMILY REAL ESTATE LLC, 510 REED ROAD, ANDERSON, SC, REAL ESTATE MANAGING PARTNER, 10/08/19, NIR, 1/WK- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view W Stephen 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: 1993
Experience
Current
January 2, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 412 A Pettigru St., Greenville, SC 29601Office #2: 510 Reed Road, Anderson, SC 29621Office #3: 107 Ram Cat Alley, Seneca, SC 29678RIA
CRD#: 134139
Greenville, SC
Current
January 2, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 412 A Pettigru St., Greenville, SC 29601Office #2: 510 Reed Road, Anderson, SC 29621Office #3: 107 Ram Cat Alley, Seneca, SC 29678BD
CRD#: 39543
Greenville, SC
Past
May 30, 2013 - January 2, 2018
ADVANTAGE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 146236
ANDERSON, SC
Past
May 24, 2013 - December 31, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
GREENVILLE, SC
Past
February 20, 2008 - May 24, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ANDERSON, SC
Past
February 15, 2008 - May 24, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ANDERSON, SC
Past
January 4, 2007 - February 27, 2008
JONES INVESTMENTS
RIA
CRD#: 140235
ANDERSON, SC
Past
August 7, 1993 - February 15, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
ANDERSON, SC
Past
August 3, 1993 - August 16, 1993
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
July 1, 1987 - July 22, 1993
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
April 7, 1987 - June 16, 1987
EAGLE CAPITAL CORPORATION
BD
CRD#: 14444
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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(3/3/2021)
RR
Colorado(1/2/2018)
RR
Connecticut(1/2/2018)
RR
Delaware(3/25/2019)
RR
District of Columbia(3/2/2023)
RR
Florida(1/2/2018)
RR
Georgia(1/2/2018)
RR
Indiana(3/25/2019)
RR
Kentucky(1/22/2025)
RR
Louisiana(11/17/2023)
RR
Mississippi(1/3/2023)
RR
North Carolina(1/2/2018)
RR
Pennsylvania(1/2/2018)
RR
South Carolina(1/2/2018)
IAR
South Carolina(1/2/2018)
RR
Tennessee(1/2/2018)
RR
Texas(1/2/2018)
IAR
Texas(1/2/2018)
RR
Vermont(11/17/2023)
RR
Virginia(1/2/2018)
RR
Wisconsin(1/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/1/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Greenville, SC 29601TRUST BUT VERIFY
Monitor W Jones
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
