Roy JonesCRD Number: 3166097
Current Firm: Aegis Wealth Group, LLC
Roy Jones (CRD# 3166097) is an Investment Advisor Representative working at Aegis Wealth Group, LLC in Sandy, UT and has over 18 years of experience in the finance industry. Roy Jones has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Uma Financial Services Inc.
|Dfpg Investments, Inc.||South Jordan, UT||Jul 2015 - Current||2|
|Aegis Wealth Group, LLC||Sandy, UT||Apr 2015 - Current||2|
|Lpl Financial LLC||Sandy, UT||Oct 2005 - Jul 2015||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1999|
|S66||NASAA Uniform Combined State Law Examination||Jul 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management15MILLIONS
Total Number of Accounts218ACCOUNTS
Average Account Value$68,807
- A percentage of assets under your management
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
CA, ID, UT
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