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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)26 years in industry

KENNETH WAYNE JONES

Advisor at LPL FINANCIAL LLC

Beachwood, OH | SAN DIEGO, CA | Aurora, OH | BEACHWOOD, OH

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Search this name across graphsid dfx:ria:fa005d45-3a33-c38d-286d-70e80fdba303

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 12, 2002 to Sep 15, 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: Apr 7, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S66
First exam: Apr 7, 2000
First registration: Nov 12, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4142804

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	Mar 12, 2025	n/a	yes	BEACHWOOD, OH\|Aurora, OH\|Beachwood, OH\|SAN DIEGO, CA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 21, 2024	Apr 10, 2025	no	BEACHWOOD, OH	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Apr 25, 2012	Mar 21, 2024	no	TOLEDO, OH\|BEACHWOOD, OH	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Aug 23, 2005	Apr 2, 2012	no	HIGHLAND HILLS, OH\|WESTLAKE, OH	Previous registration
SIMPLY MONEY ADVISORS	Former SEC adviser	Nov 12, 2002	Sep 23, 2003	no	BEACHWOOD, OH	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 INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Apr 10, 2025	Mar 12, 2025	-29	Firm change	Ibd to ibd
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Mar 21, 2024	Mar 21, 2024	0	Bulk transfer	Ibd to ibd
NEW ENGLAND SECURITIES CORPORATION	CETERA ADVISORS LLC	Apr 2, 2012	Apr 25, 2012	23	Firm change	Other
SIMPLY MONEY ADVISORS	NEW ENGLAND SECURITIES CORPORATION	Sep 23, 2003	Aug 23, 2005	700	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:6413:OH:2025-04-02	Apr 10, 2025	Mar 12, 2025	BEACHWOOD, OH	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 12, 2025 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 21, 2024 to Apr 10, 2025factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Apr 25, 2012 to Mar 21, 2024factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 23, 2005 to Apr 2, 2012factForm ADV
→ SIMPLY MONEY ADVISORSRegistered adviserregistration: previous registration
Nov 12, 2002 to Sep 23, 2003factForm ADV

Dated events

Occurred
Apr 10, 2025
Advisor changed firm
Kenneth Wayne Jones left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2025-03-12)
Form ADVobserved 5 days ago