Roy Jones has been Chief Executive Officer and Chief Compliance Officer of Aegis Wealth Group since May 2015, is a control person of the firm and directly owns under 5% of it.
Aegis Wealth Group, LLC is a Midvale, UT firm with $248M under management, 803 clients and 15 advisers across 2 offices, as of its July 2026 filing.
Roy Jones’ longest registration is the current one, 11 years at Aegis Wealth Group since 2015. Before joining Aegis Wealth Group in 2015, Roy Jones was registered through LPL Financial LLC and Cuna Brokerage Services, Inc.
- MHL TampAlso current– present · under a yearAdviser representative · Firm CRD 2535
- E6 PortfoliosAlso current– present · 3 yearsMidvale, UT · Adviser representative · Firm CRD 326617
- LPL Financial LLC– · 9 yearsSandy, UT · Adviser representative · Firm CRD 6413
- Cuna Brokerage Services, Inc.– · under a yearSalt Lake City, UT · Adviser representative · Firm CRD 13941
- Banc of America Investment Services, Inc.– · under a yearThousand Oaks, CA · Adviser representative · Firm CRD 16361
- Wells Fargo Investments, LLC– · 1 yearCanoga Park, CA · Adviser representative · Firm CRD 10582
Investment adviser representative registrations
Roy Jones is registered as an investment adviser representative in Utah, since August 2015.
- UtahSince 14 August 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 23 October 2006 |
| Series 66 | Uniform Combined State Law Examination | 17 July 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 February 1999 |
| Series 7 | General Securities Representative Examination | 1 February 1999 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Roy Russell Jones
- CRD
- 3166097
- Firm
- Aegis Wealth Group · CRD 222515
- Role
- Chief Executive Officer; Chief Compliance Officer
- Office
- 6900 SOUTH 900 EAST, SUITE 200, Midvale, UT 84047
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Roy Jones work?
Roy Jones has been Chief Executive Officer; Chief Compliance Officer of Aegis Wealth Group, LLC since May 2015, and is a control person of the firm.
Is Roy Jones a financial advisor?
Yes. Roy Jones has a current investment-adviser registration in Utah, through Aegis Wealth Group since August 2015.
How many years of experience does Roy Jones have?
Roy Jones has 27 years in the financial industry, since September 1999, across 7 adviser firms.
What exams has Roy Jones passed?
Roy Jones has passed 5 licensing exams: the Series 7, Series 63, Series 66, Series 24 and Series 14. The earliest, the Series 7, was passed in February 1999. FINRA credited Roy Jones with the SIE, which began in October 2018.
Where did Roy Jones work before Aegis Wealth Group?
Before Aegis Wealth Group, Roy Jones was registered through LPL Financial LLC, October 2005 to July 2015; Cuna Brokerage Services, Inc., December 2004 to October 2005; Banc of America Investment Services, Inc., February 2004 to May 2004; Wells Fargo Investments, LLC, July 2002 to March 2004.
Where is Roy Jones based?
Roy Jones’ registered office is in Midvale, UT.
Is Roy Jones registered with FINRA?
Yes. Roy Jones has a current broker registration, under CRD 3166097.
Source: FINRA BrokerCheck
How can I verify Roy Jones’ record?
Search CRD 3166097 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Roy Jones’ full registration record.