EDWARD D. JONES & CO., L.P. of ST. LOUIS, MO is an SEC-registered investment adviser (CRD 250). Regulatory assets under management: $1.0T. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Penelope Pennington | CHIEF EXECUTIVE OFFICER | — |
| Andrew Timothy Miedler | CHIEF FINANCIAL OFFICER | — |
| David Chubak | HEAD OF U.S. BUSINESS UNIT; HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | — |
| Keir Devon Gumbs | CHIEF LEGAL OFFICER | — |
| Todd Judson Purdy | HEAD OF OPERATIONS | — |
| Jennifer A Grego | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - BROKER/DEALER | — |
| Kristin Michele Johnson | CHIEF OPERATING OFFICER; CHIEF TRANSFORMATION OFFICER | — |
| David Alexander Gunn | HEAD OF U.S. BUSINESS UNIT; PRESIDENT OF EDWARD JONES (AN ONTARIO LIMITED PARTNERSHIP) | — |
| Elizabeth E O'Hanlon | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | — |
| Joseph Lawrence Klocke | CO-HEAD OF SUPERVISION | — |
| Casey John Whalley | CO-HEAD OF SUPERVISION | — |
| Francis T Laquinta | HEAD OF DIGITAL, DATA AND OPERATIONS | — |
| Jeremy Leland Michelman | HEAD OF SUPERVISION | — |
| Kenneth Ray Jr Cella | HEAD OF EXTERNAL AFFAIRS AND COMMUNITY ENGAGEMENT | — |
| Lisa Marie Dolan | HEAD OF BRANCH OPERATIONS AND SHARED SERVICES | — |
| Tina Marie Hrevus | CHIEF OF STAFF TO THE MANAGING PARTNER | — |
| Timothy Andrew Rea | CHIEF EXPERIENCE, BRAND AND MARKETING OFFICER | — |
| Suzan L Mcdaniel | CHIEF HUMAN RESOURCES OFFICER | — |
| Lena Haas | HEAD OF WEALTH MANAGEMENT ADVICE AND SOLUTIONS | St. Louis, MO |
| Hasan A Malik | CHIEF STRATEGY OFFICER | — |
| ROBERTS STANLEY A | BUSINESS LEADER - NEW MARKET OPPORTUNITIES; HEAD OF NEW MARKET OPPORTUNITIES; PRINCIPAL - BUSINESS SEGMENTS | — |
| CURRAN JAMES PATRICK | PRINCIPAL OF BRANCH DEVELOPMENT | — |
| NOVIK STEVEN | CHIEF FINANCIAL OFFICER | — |
| EAKER NORMAN LEE | CHIEF OPERATIONS OFFICER | — |
| CAVNESS PAMELA KAY | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 152 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-06-26 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE NORTH DAKOTA INSURANCE COMMISSIONER (THE "COMMISSIONER") ALLEGED THAT, DURING THE PERIOD OF APPROXIMATELY MAY 1, 2020… | Final | $100K |
| 2026-06-17 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE STATE OF FLORIDA, OFFICE OF FINANCIAL REGULATION (THE "OFFICE") ALLEGED THAT, DURING THE PERIOD OF APPROXIMATELY MAY 1… | Final | $100K |
| 2026-06-16 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT EDWARD D. JONES & CO., L.P. ("EDWARD JONES" OR THE "FIRM") FAILED (1) TO REPORT CERTAIN FRACTIONAL SHARE LIQUIDATIONS TO THE FINRA/NASDAQ TRADE REPORTING FACILITY OR THE OVER-THE-COUNTER REPORTING FACILITY IN VIOLATION OF FINRA RULES… | Final | $125K |
| 2026-06-16 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY THE REGISTRATION, INSPECTIONS, COMPLIANCE, AND EXAMINATIONS ("RICE") SECTION OF THE SECURITIES DIVISION OF THE OFFICE OF THE SECRETARY OF THE COMMONWEALTH OF MASSACHUSETTS (THE "DIVISION"), THE DIVISION ALLEGED THAT, EDWARD D. JONES & CO., L.P. ("EDWA… | Final | $50K |
| 2026-06-05 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE MAINE SECURITIES ADMINISTRATOR (THE "ADMINISTRATOR") ALLEGED THAT, DURING THE PERIOD OF APPROXIMATELY MAY 1, 2020 TO A… | Final | $100K |
| 2026-05-12 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE NORTH CAROLINA DEPARTMENT OF THE SECRETARY OF STATE, SECURITIES DIVISION (THE "SECURITIES DIVISION") ALLEGED THAT, DUR… | Final | $100K |
| 2026-05-05 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE WASHINGTON STATE DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT, DURING THE PE… | Final | $100K |
| 2026-04-13 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS (THE "DEPARTMENT") ALLEGED THAT, DURING THE PERIOD OF APPROXIMATELY MAY… | Final | $100K |
| 2026-04-09 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS ("LOFI") ALLEGED THAT, DURING THE PERIOD OF APPROXIMATELY MAY 1, 2020 TO AP… | Final | $100K |
| 2026-04-01 | regulatory | IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG CERTAIN MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ("NASAA"), THE SECURITIES DIVISION OF THE OFFICE OF THE NEVADA SECRETARY OF STATE (THE "DIVISION") ALLEGED THAT, DURING THE PERIOD OF… | Final | $100K |