Gregory M. Smalley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Mcconnell Smalley, who also goes by Greg Mcconnell Smalley, Greggory Mcconnell Smalley, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 52 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2005 - October 22, 2013
EDWARD JONES
June 1, 2005 - October 22, 2013
EDWARD JONES
September 22, 2000 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 13, 1999 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 16, 1992 - January 5, 1999
BA INVESTMENT SERVICES, INC.
August 24, 1989 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
April 27, 1988 - October 17, 1989
THOMSON MCKINNON SECURITIES INC.
January 30, 1986 - April 18, 1988
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1985 - December 23, 1985
B.O.C.L. SECURITIES CORP.
May 18, 1983 - March 19, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
May 27, 1982 - July 7, 1983
CALIFORNIA MUNICIPAL INVESTORS, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/23/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
