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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Michael Thomas Jones

Advisor at LPL FINANCIAL LLC

SPICEWOOD, TX | NEW BRAUNFELS, TX

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Search this name across graphsid dfx:ria:ca1387f9-4fd4-0794-cc03-d315de3954d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2002 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: Jan 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 18, 1999
First registration: Feb 27, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 3130074

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	Jul 10, 2025	n/a	yes	NEW BRAUNFELS, TX\|SPICEWOOD, TX	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Oct 19, 2022	Jul 10, 2025	no	New Braunfels, TX\|Spicewood, TX\|BUDA, TX	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 4, 2021	Oct 17, 2022	no	AUSTIN, TX\|Cedar Park, TX	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Aug 22, 2019	Jan 14, 2021	no	CEDAR PARK, TX\|GEORGETOWN, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Jan 13, 2017	Aug 26, 2019	no	DRIPPING SPRINGS, TX\|SANTEE, CA\|GEORGETOWN, TX\|Newport Beach, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Oct 31, 2013	Dec 27, 2016	no	LA MESA, CA\|La Mesa, CA\|San Diego, CA\|Santee, CA\|El Cajon, CA\|Chula Vista, CA\|Chula Vista, CA\|San Diego, CA\|National City, CA	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Oct 16, 2008	Aug 26, 2013	no	SUGARLAND, TX\|KATY, TX\|SUGARLAND, TX\|HOUSTON, TX\|KATY, TX	Previous registration
WAMU INVESTMENTS, INC.	n/a	Apr 19, 2007	Oct 29, 2008	no	SUGARLAND, TX\|SUGARLAND, TX\|SUGAR LAND, TX\|SUGAR LAND, TX\|MISSOURI CITY, TX	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Feb 27, 2002	Apr 17, 2007	no	EL CAMPO, TX\|ANGLETON, TX\|BAY CITY, TX\|EAST BERNARD, TX\|WHARTON, TX\|BAY CITY, TX\|EL CAMPO, TX\|HOUSTON, TX\|HOUSTON, TX\|SAN ANTONIO, 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
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	NEXT FINANCIAL GROUP, INC.	Oct 17, 2022	Oct 19, 2022	2	Channel change	Ibd to ibd
CETERA ADVISORS LLC	CUSO FINANCIAL SERVICES, L.P.	Jan 14, 2021	Jan 4, 2021	-10	Firm change	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	CETERA ADVISORS LLC	Aug 26, 2019	Aug 22, 2019	-4	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	NEXT FINANCIAL GROUP, INC.	Dec 27, 2016	Jan 13, 2017	17	Firm change	Other
NEXT FINANCIAL GROUP, INC.	CUSO FINANCIAL SERVICES, L.P.	Aug 26, 2013	Oct 31, 2013	66	Firm change	Other
WAMU INVESTMENTS, INC.	NEXT FINANCIAL GROUP, INC.	Oct 29, 2008	Oct 16, 2008	-13	Firm change	Other
INVESTMENT PROFESSIONALS, INC.	WAMU INVESTMENTS, INC.	Apr 17, 2007	Apr 19, 2007	2	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Oct 19, 2022 to Jul 10, 2025factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 4, 2021 to Oct 17, 2022factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Aug 22, 2019 to Jan 14, 2021factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 19, 2007 to Oct 29, 2008factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Feb 27, 2002 to Apr 17, 2007factForm ADV

Dated events

No dated event names this entity yet.