Michael Patkunas
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.
Michael Patkunas, who also goes by Michael James Patkunas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2018 - March 15, 2019
EDWARD JONES
July 16, 2018 - March 15, 2019
EDWARD JONES
May 5, 2016 - December 13, 2017
FORESTERS FINANCIAL SERVICES, INC.
March 27, 2015 - December 9, 2015
REALTY CAPITAL SECURITIES, LLC
January 29, 2014 - October 17, 2014
BENJAMIN & JEROLD BROKERAGE I, LLC
May 26, 2005 - November 8, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 26, 2005 - November 8, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 24, 2000 - March 16, 2005
PGIM INVESTMENTS LLC
January 1, 1997 - March 16, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 20, 1996 - January 1, 1997
PRUCO SECURITIES, LLC.
January 31, 1992 - January 3, 1994
KEYPORT FINANCIAL SERVICES CORP.
October 4, 1988 - December 11, 1991
BRAUVIN SECURITIES, INC.
January 2, 1987 - December 15, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 2, 1987 - December 15, 1987
EQUITABLE ADVISORS, LLC
July 21, 1983 - November 24, 1986
FIRST JERSEY SECURITIES, 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
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.
