Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2019 (9 years)2 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
2/19/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/13/2023
IA
New Mexico 11/7/2023
B
California 11/3/2023
B
New York 11/6/2023
B
Colorado 11/6/2023
B
North Carolina 11/7/2023
B
District of Columbia 11/9/2023
B
Ohio 11/19/2024
B
Florida 11/6/2023
B
Oklahoma 11/6/2023
B
Idaho 11/3/2023
B
Pennsylvania 8/21/2024
B
Illinois 11/7/2023
B
Texas 11/3/2023
B
Kansas 11/3/2023
IA
Texas 11/3/2023
B
Minnesota 7/10/2024
B
Utah 11/3/2023
B
Missouri 11/3/2023
B
Virginia 11/6/2023
B
Nevada 11/9/2023
B
Washington 11/3/2023
B
New Mexico 11/6/2023
B
Wyoming 11/6/2023

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)
810 CALLE MEJIA SUITE 101, SANTA FE, NM 87501
Registered with this firm since 11/3/2023
B
EDWARD JONES (CRD#:250)
810 CALLE MEJIA SUITE 101, SANTA FE, NM 87501
Registered with this firm since 11/3/2023
Previous Registration(s)
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IA
 01/08/2019 - 05/01/2023 MORGAN STANLEY (CRD#:149777) Leawood, KS
B
 01/08/2019 - 05/01/2023 MORGAN STANLEY (CRD#:149777) Leawood, KS
IA
 09/08/2009 - 01/10/2019 EDWARD JONES (CRD#:250) LIBERAL, KS
B
 08/10/2009 - 01/10/2019 EDWARD JONES (CRD#:250) LIBERAL, KS
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.