Roy Jones has been an investment adviser representative at Financial & Tax Architects since September 2024, and is not listed among the firm’s executive officers or direct owners.
Financial & Tax Architects, LLC is a St. Louis, MO firm with $506M under management, 1,574 clients and 40 advisers across 22 offices, as of its June 2026 filing.
David Jones is Financial Advisor of Financial & Tax Architects. He has served in the insurance and financial industry for over 24 years as a risk management consultant, and currently consults for individuals and small and medium-sized companies in the Carolinas. He serves on advisory committees and boards for several insurance organizations and on the Florence, SC Public Safety Citizen's Review Board.
Roy Jones’ longest registration was 2 years at Brokers International Financial Services, LLC (2008–2010). Before joining Financial & Tax Architects in 2024, Roy Jones was registered through Brokers International Financial Services, LLC and Capital Financial Services, Inc.
- – present · 2 yearsFlorence, SC · Adviser representative · Firm CRD 119169
- Brokers International Financial Services, LLC– · 2 yearsFlorence, SC · Adviser representative · Firm CRD 139627
- Capital Financial Services, Inc.– · under a yearRaleigh, NC · Adviser representative · Firm CRD 8408
Investment adviser representative registrations
Roy Jones is registered as an investment adviser representative in South Carolina, since September 2024.
- South CarolinaSince 12 September 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 6 September 2024 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 April 2008 |
| Series 66 | Uniform Combined State Law Examination | 1 September 2005 |
| Series 7 | General Securities Representative Examination | 25 August 2005 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Roy Davidson Jones
- CRD
- 5021002
- Firm
- Financial & Tax Architects · CRD 119169
- Office
- 2217 W DRIFTWOOD AVE, Florence, SC 29501
- Registration
- Investment adviser registration
- In the industry since
- March 2021
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fta-ria.com
Where does Roy Jones work?
Roy Jones is an investment adviser representative registered through Financial & Tax Architects, LLC since September 2024, and is not listed among the firm’s executive officers or direct owners.
Is Roy Jones a financial advisor?
Yes. Roy Jones has a current investment-adviser registration in South Carolina, through Financial & Tax Architects since September 2024.
How many years of experience does Roy Jones have?
Roy Jones has 5 years in the financial industry, since March 2021, across 3 adviser firms.
What exams has Roy Jones passed?
Roy Jones has passed 4 licensing exams: the Series 7, Series 66, Series 63 and Series 65. The earliest, the Series 7, was passed in August 2005.
Where did Roy Jones work before Financial & Tax Architects?
Before Financial & Tax Architects, Roy Jones was registered through Brokers International Financial Services, LLC, March 2008 to December 2010; Capital Financial Services, Inc., September 2005 to June 2006.
Where is Roy Jones based?
Roy Jones’ registered office is in Florence, SC.
Is Roy Jones registered with FINRA?
No. Roy Jones has no current broker registration.
How can I verify Roy Jones’ record?
Search CRD 5021002 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roy Jones’ full registration record.
David BrooksChief Executive Officer
Gordon HaavePresident and Chief Investment Officer- Paul FelschChief Compliance Officer & Legal Counsel