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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JAMES SPENCER JONES

Advisor at SOVRAN ADVISORS, LLC

SAN DIEGO, CA | Pasadena, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 12, 2004 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: SOVRAN ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 6, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 6, 2004
First registration: Apr 12, 2004
Dual registered: yes, broker-dealer
Other names: SPENCER JONES|J SPENCER JONES|SPENCER JONES|JAMES SPENCER JONES
IAPD individual key: 4750726

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
SOVRAN ADVISORS, LLC	Independent wealth	Feb 23, 2024	n/a	yes	SAN DIEGO, CA\|Pasadena, CA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Mar 5, 2024	no	LOS ANGELES, CA\|Los Angeles, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 27, 2014	Mar 25, 2017	no	LOS ANGELES, CA	Previous registration
INDEPENDENT ADVISERS GROUP CORP	Former SEC adviser	Sep 2, 2010	Nov 17, 2014	no	LOS ANGELES, CA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Apr 12, 2004	Nov 4, 2014	no	LOS ANGELES, CA\|LOS ANGELES, CA	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
MML INVESTORS SERVICES, LLC	SOVRAN ADVISORS, LLC	Mar 5, 2024	Feb 23, 2024	-11	Bulk transfer	Ibd to new firm
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
INDEPENDENT ADVISERS GROUP CORP	MSI FINANCIAL SERVICES, INC.	Nov 17, 2014	Oct 27, 2014	-21	Firm change	Other
OSAIC FS, INC.	INDEPENDENT ADVISERS GROUP CORP	Nov 4, 2014	Sep 2, 2010	-1,524	Firm change after gap	Other

Relationships

Registered with (5)

→ SOVRAN ADVISORS, LLCRegistered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Mar 5, 2024factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 27, 2014 to Mar 25, 2017factForm ADV
→ INDEPENDENT ADVISERS GROUP CORPRegistered adviserregistration: previous registration
Sep 2, 2010 to Nov 17, 2014factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Apr 12, 2004 to Nov 4, 2014factForm ADV

Dated events

No dated event names this entity yet.