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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

CHRISTOPHER LEE JONES

Advisor at LPL FINANCIAL LLC

CONROE, TX

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Search this name across graphsid dfx:ria:4a60a4c9-3d54-c96e-7268-6a8a36a065f2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 9, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 29, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 29, 1997
First registration: May 9, 2000
Dual registered: yes, broker-dealer
Other names: CHRIS JONES
IAPD individual key: 2887985

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	May 21, 2019	n/a	yes	CONROE, TX	Current employment
CETERA ADVISORS LLC	Former SEC adviser	Jun 17, 2011	May 30, 2019	no	GREENWOOD VILLAGE, CO\|Magnolia, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Aug 3, 2007	Jun 20, 2011	no	CONROE, TX\|HOUSTON, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 9, 2000	May 24, 2002	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA ADVISORS LLC	LPL FINANCIAL LLC	May 30, 2019	May 21, 2019	-9	Firm change	Ibd to RIA
NEXT FINANCIAL GROUP, INC.	CETERA ADVISORS LLC	Jun 20, 2011	Jun 17, 2011	-3	Firm change	Other
UBS FINANCIAL SERVICES INC.	NEXT FINANCIAL GROUP, INC.	May 24, 2002	Aug 3, 2007	1,897	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 21, 2019 to presentfactForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jun 17, 2011 to May 30, 2019factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Aug 3, 2007 to Jun 20, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 9, 2000 to May 24, 2002factForm ADV

Dated events

No dated event names this entity yet.