Unclaimed Profile

Douglas Hanson Jones

RILEY PRIVATE CLIENT LLC·SOUTHLAKE, Texas

SIE, Series 7, Series 66CFPClean record14 years registeredRILEY PRIVATE CLIENT LLC

700 N CARROLL AVE, SOUTHLAKE, TX 76092CRD# 5677992Firm CRD# 310313

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Douglas Hanson Jones · SOUTHLAKE, TX

Registration

CRD #5677992 · RILEY PRIVATE CLIENT LLC · 14 years registered

Brand Profile

Not yet started

Career History

EP WEALTH ADVISORS

Nov 2024 – present

RILEY PRIVATE CLIENT LLC

May 2023 – Nov 2024

SOUTHLAKE, TX

CHARLES SCHWAB & CO., INC.

Apr 2018 – May 2023

Fort Worth, TX

NEUBERGER BERMAN BD LLC

Sep 2014 – Mar 2018

CHICAGO, IL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dec 2011 – Sep 2014

JACKSONVILLE, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · December 7, 2011

Years registered · 14

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RILEY PRIVATE CLIENT LLC

CRD 310313 · SEC 801-121467

AUM

$65M

Regulatory assets under management

Employees

363 client accounts

Services offered by RILEY PRIVATE CLIENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RILEY PRIVATE CLIENT LLC →

Introduction

Speak with Douglas

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Douglas is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SOUTHLAKE?

Browse all registered financial advisors in SOUTHLAKE, Texas or claim this profile if it's yours.

Browse SOUTHLAKE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Douglas Hanson Jones offer?

Douglas Hanson Jones specializes in Financial Planning, Investment Management. Contact their office in SOUTHLAKE, Texas for a consultation.

What are Douglas Hanson Jones's credentials?

Douglas Hanson Jones holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Douglas Hanson Jones located?

Douglas Hanson Jones is based in SOUTHLAKE, Texas, working with RILEY PRIVATE CLIENT LLC. Their office serves clients in the SOUTHLAKE metropolitan area and surrounding communities.

How does Douglas Hanson Jones charge for services?

Douglas Hanson Jones's firm is compensated through percentage of aum, subscription fees, other: referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RILEY PRIVATE CLIENT LLC?

RILEY PRIVATE CLIENT LLC has approximately 4 employees and manages $65M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →