Richard Jones is a registered investment advisor, based in Charlotte, NC.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Vanguard Marketing Corporation
February 2026 - Present · 3 mos
Vanguard Advisers, INC.
February 2026 - Present · 3 mos
Vanguard Marketing CorporationBroker
February 2026 - Present · 3 mos
Previous Registrations
LPL Financial LLC
August 2025 - February 2026 · 6 mos
LPL Financial LLCBroker
August 2025 - February 2026 · 6 mos
State Registrations2 states
NCTX
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.