Anne T. Campisi
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.
Anne Theresa Campisi, who also goes by Anne Thesea Campisi, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1982. Anne had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 12, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2008 - January 17, 2012
EDWARD JONES
July 16, 2007 - September 12, 2007
MSI FINANCIAL SERVICES, INC.
May 25, 2005 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2005 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - March 18, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 18, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 17, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 5, 2001 - October 20, 2004
QUICK & REILLY, INC.
June 1, 1992 - March 1, 2001
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
October 27, 1989 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
March 2, 1989 - October 23, 1989
A.J. MICHAELS & CO., LTD.
October 28, 1988 - March 10, 1989
INVESTORS CENTER, INC.
January 5, 1988 - October 31, 1988
J. T. MORAN & CO., INC.
September 24, 1982 - February 10, 1988
BLINDER, ROBINSON & CO., 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 12
Date: 9/5/2001
NYSE Branch Manager ExaminationCurrent 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.
