HJ
HJ
Howard Jones
36 Years of Experience
Phoenix, AZ
2 DisclosuresBroker
Howard Jones is a registered investment advisor at Cetera Investment Advisers LLC, based in Phoenix, AZ, with 36 years of industry experience. Howard is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
1702 E. Highland Ave, Suite 204, Phoenix, AZ, 85016
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2022Settled
Financial
February 2019Final
Employment History
Current Registrations
Cetera Investment Advisers LLC
May 2022 - Present · 4 yrs 5 mos
Cetera Investment Services LLC
May 2022 - Present · 4 yrs 5 mos
Cetera Investment Services LLCBroker
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
Planmember Securities CorporationBroker
January 2019 - May 2022 · 3 yrs 4 mos
Planmember Securities Corporation
January 2019 - May 2022 · 3 yrs 4 mos
Cetera Advisor Networks LLC
January 2015 - December 2018 · 3 yrs 11 mos
Cetera Advisor Networks LLCBroker
January 2015 - December 2018 · 3 yrs 11 mos
Investment Advisors
May 2000 - December 2014 · 14 yrs 7 mos
Proequities, INC.Broker
July 1993 - December 2014 · 21 yrs 5 mos
Gna Securities, INC.Broker
May 1992 - July 1992 · 2 mos
Hamilton Investments, INC.Broker
August 1991 - April 1992 · 8 mos
Dean Witter Reynolds INC.Broker
July 1989 - July 1991 · 2 yrs
State Registrations4 states
AZCAMSUT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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