Marilyn A. Powell
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.
Marilyn Ann Powell, who also goes by Marilyn Ann Oshnock, Marilyn O Powell, Marilyn Oshnock Powell, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1983. Marilyn had worked at 9 firms and has passed the Series 66, 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
June 26, 2013 - June 29, 2016
EDWARD JONES
January 4, 2012 - June 29, 2016
EDWARD JONES
February 19, 2008 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 2008 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2005 - August 9, 2007
A. G. EDWARDS & SONS, INC.
April 7, 2005 - August 9, 2007
A. G. EDWARDS & SONS, INC.
July 8, 1999 - April 1, 2005
EDWARD JONES
February 4, 1998 - December 31, 1998
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 7, 1996 - August 1, 1996
MORGAN STANLEY DW INC.
August 30, 1993 - April 24, 1995
A. G. EDWARDS & SONS, INC.
April 29, 1992 - June 29, 1993
TRUSTMARK SECURITIES, INC.
October 31, 1990 - July 9, 1991
LEGG MASON WOOD WALKER, INCORPORATED
January 13, 1989 - September 18, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1985 - June 22, 1987
INVESCO CAPITAL MARKETS, INC.
August 24, 1983 - March 6, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
