Joseph Mcgivney
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.
Joseph Mcgivney Jr, who also goes by Joseph P Mcgivney Jr, Joseph P Mcgivney, Joseph Peter Mcgivney Jr, Joseph Peter Mcgivney, Joseph Mcgivney, Joseph Mcgivney Jr Mcgivney Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - November 21, 2024
EDWARD JONES
July 19, 2021 - November 21, 2024
EDWARD JONES
February 10, 2020 - July 23, 2021
VALIC FINANCIAL ADVISORS, INC.
November 19, 2019 - July 23, 2021
VALIC FINANCIAL ADVISORS, INC.
February 18, 2009 - June 1, 2018
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 31, 2007 - February 19, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 1, 2006 - September 18, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 3, 1997 - August 29, 2006
COREBRIDGE CAPITAL SERVICES, INC.
August 6, 1993 - December 17, 1995
MADISON SECURITIES, INC.
November 1, 1988 - February 27, 1989
DRAKE & COMPANY INVESTMENT SERVICES, INC.
December 21, 1983 - September 26, 1988
JOSEPH P. MCGIVNEY AND ASSOCIATES, 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.
