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Detailed Report
DOUGLAS WARREN JONES
DOUG JONES
CRD#: 810094
IA
Investment Adviser
B
Broker
J. W. COLE ADVISORS, INC.CRD#: 112294 26477 RANCHO PARKWAY SOUTH
LAKE FOREST, CA 92630
J.W. COLE FINANCIAL, INC.CRD#: 124583 26477 RANCHO PARKWAY SOUTH
LAKE FOREST, CA 92630
Registration History
197519801985199019952000200520102015202020252 FIRMS2013 - Present (12 years)IADOUGLAS W. JONES ASSOCIATES FI... (CRD# 112862)1992 - Present (32 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)1985 - 2013 (27 years)BRICHEY FINANCIAL GROUP, INC. (CRD# 17113)1987 - 1989 (1 year)BGENERAL AMERICAN LIFE INSURANC... (CRD# 3963)1980 - 1987 (7 years)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1983 - 1986 (3 years)BCONNECTICUT MUTUAL LIFE INSURA... (CRD# 173)1975 - 1980 (5 years)IAWALNUT STREET SECURITIES, INC. (CRD# 15840)2006 - 2013 (6 years)IAWALNUT STREET ADVISERS INC (CRD# 109903)1993 - 2006 (13 years)
License(s)

State Registrations

B
Arizona 9/21/2016
B
Maryland 2/15/2013
IA
California 5/5/1992
B
Oregon 2/15/2013
B
California 2/15/2013
B
Texas 5/23/2016
B
Florida 2/15/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J. W. COLE ADVISORS, INC. (CRD#:112294)
26477 RANCHO PARKWAY SOUTH, LAKE FOREST, CA 92630
Registered with this firm since 2/15/2013
IA
DOUGLAS W. JONES ASSOCIATES FINANCIAL & INSURANCE SERVICES, INC. (CRD#:112862)
26477 Rancho Parkway South, Lake Forest, CA 92630
Registered with this firm since 5/5/1992
B
J.W. COLE FINANCIAL, INC. (CRD#:124583)
26477 RANCHO PARKWAY SOUTH, LAKE FOREST, CA 92630
Registered with this firm since 2/15/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/14/2006 - 02/21/2013 WALNUT STREET SECURITIES, INC. (CRD#:15840) LAKE FOREST, CA
B
 10/11/1985 - 02/21/2013 WALNUT STREET SECURITIES, INC. (CRD#:15840) LAKE FOREST, CA
IA
 03/22/1993 - 11/02/2006 WALNUT STREET ADVISERS INC (CRD#:109903) IRVING, CA
B
 05/27/1987 - 04/27/1989 RICHEY FINANCIAL GROUP, INC. (CRD#:17113)
B
 01/03/1980 - 01/14/1987 GENERAL AMERICAN LIFE INSURANCE COMPANY (CRD#:3963)
B
 01/18/1983 - 11/04/1986 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
B
 07/21/1975 - 08/02/1980 CONNECTICUT MUTUAL LIFE INSURANCE COMPANY (CRD#:173)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.