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Detailed Report
Richard K Poole
RICHARD KENNETH POOLE JR, Richard Kenneth Poole
CRD#: 2409835
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 460 BRIARGATE DR SUITE 100
SOUTH ELGIN, IL 60177
Registration History
19952000200520102015202020252 FIRMS2023 - Present (1 year)BHARTFORD FUNDS DISTRIBUTORS, LLC (CRD# 45995)2012 - 2023 (11 years)BHARTFORD LIFE DISTRIBUTORS, LLC (CRD# 8326)2004 - 2012 (8 years)BFEDERATED SECURITIES CORP. (CRD# 5009)1996 - 2004 (7 years)BPENN SQUARE MANAGEMENT CORPORATION (CRD# 3004)1994 - 1996 (1 year)BL.C. WEGARD & CO., INC. (CRD# 3722)1993 - 1994 (<1 year)
License(s)

State Registrations

B
Arizona 12/13/2023
B
New Hampshire 12/13/2023
B
Arkansas 9/30/2024
B
New Jersey 12/13/2023
B
Colorado 2/29/2024
B
Ohio 12/13/2023
B
Connecticut 12/13/2023
B
Pennsylvania 12/13/2023
B
Florida 12/13/2023
B
Tennessee 12/13/2023
B
Illinois 12/13/2023
B
Texas 12/13/2023
IA
Illinois 12/13/2023
IA
Texas 12/13/2023
B
Indiana 12/13/2023
B
Virginia 12/13/2023
B
Maryland 12/13/2023
B
Wisconsin 12/13/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
460 BRIARGATE DR SUITE 100, SOUTH ELGIN, IL 60177
Registered with this firm since 12/13/2023
B
EDWARD JONES (CRD#:250)
460 BRIARGATE DR SUITE 100, SOUTH ELGIN, IL 60177
Registered with this firm since 12/13/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/03/2012 - 12/13/2023 HARTFORD FUNDS DISTRIBUTORS, LLC (CRD#:45995) WAYNE, PA
B
 02/03/2004 - 12/03/2012 HARTFORD LIFE DISTRIBUTORS, LLC (CRD#:8326) HARTFORD, CT
B
 08/22/1996 - 02/03/2004 FEDERATED SECURITIES CORP. (CRD#:5009) PITTSBURGH, PA
B
 09/11/1994 - 08/02/1996 PENN SQUARE MANAGEMENT CORPORATION (CRD#:3004)
B
 11/29/1993 - 07/15/1994 L.C. WEGARD & CO., INC. (CRD#:3722) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.