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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

MICHAEL THOMAS JONES

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:b08933c6-db43-9953-eba8-ba29dfc04077

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2001 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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 20, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Dec 20, 1999
First registration: Apr 16, 2001
Dual registered: yes, broker-dealer
Other names: MIKE JONES
IAPD individual key: 2222919

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 12, 2010	n/a	yes	NEWPORT BEACH, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 21, 2010	no	Laguna Niguel, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 31, 2003	Jun 1, 2009	no	LAGUNA NIGUEL, CA\|LAGUNA NIGUEL, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 16, 2001	Nov 3, 2003	no	ATLANTA, GA	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 21, 2010	Jul 12, 2010	-9	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Nov 3, 2003	Oct 31, 2003	-3	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jul 12, 2010 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 21, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 31, 2003 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 16, 2001 to Nov 3, 2003factForm ADV

Dated events

No dated event names this entity yet.