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Detailed Report
JAMES THOMAS JONES
CRD#: 855870
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 3 PARK PLAZA, SUITE 1490
IRVINE, CA 92614
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - 2015 (7 years)2 FIRMS2016 - Present (9 years)BTRIEQUA CAPITAL CORPORATION (CRD# 13101)1983 - 2008 (25 years)BCAPITAL ANALYSTS, INCORPORATED (CRD# 5478)1978 - 1983 (4 years)IATRIEQUA CAPITAL CORP (CRD# 13101)2000 - 2008 (8 years)
License(s)

State Registrations

B
California 1/4/2016
B
Michigan 1/4/2021
IA
California 1/5/2016
B
Nevada 1/4/2016
B
Colorado 1/4/2016
B
Virginia 1/11/2023

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
LPL FINANCIAL LLC (CRD#:6413)
3 PARK PLAZA, SUITE 1490, IRVINE, CA 92614
Registered with this firm since 1/5/2016
B
LPL FINANCIAL LLC (CRD#:6413)
3 PARK PLAZA, SUITE 1490, IRVINE, CA 92614
Registered with this firm since 1/4/2016
Previous Registration(s)
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IA
 03/03/2008 - 12/31/2015 LPL FINANCIAL LLC (CRD#:6413) TUSTIN, CA
B
 02/29/2008 - 12/31/2015 LPL FINANCIAL LLC (CRD#:6413) TUSTIN, CA
IA
 02/23/2000 - 12/31/2008 TRIEQUA CAPITAL CORP (CRD#:13101) TUSTIN, CA
B
 04/25/1983 - 09/05/2008 TRIEQUA CAPITAL CORPORATION (CRD#:13101) TUSTIN, CA
B
 08/24/1978 - 04/05/1983 CAPITAL ANALYSTS, INCORPORATED (CRD#:5478)
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.