DL
David E. Lodike
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CRD#: 1264244
DL
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.
David Ef Lodike, who also goes by David Erwin Fischer-lodike, David Erwin Fischerlodike, David Erwin Lodike II, David Erwin Lodike, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 9, Series 10, Series 24, Series 14 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Erwin Fischer-Lodike | David Erwin Fischerlodike | David Erwin Lodike Ii | David Erwin Lodike
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
CEP Content Cmmt (not compensated) Type of business: Securities Industry CE New York, NY Start date: 3/5/2003 S101 Content Cmmt Member Hours per week: 0 Hours during trading: 0 Design CE content for the S101 CE program. Attend 3 or 4 meetings each year FINRA - Complaint Initiatives Committee Type of business: Industry Participation New York, NY Start date: 10/1/2015 Committee Member Hours per week: 0 Hours during trading: 0 Quarterly meetings to learn and share thoughts about trends in member complaint reports, industry enforcement actions, self-reporting practices MSRB MuniEdPro CE Training Type of business: Industry Participation Washington, DC Start date: 3/28/2017 Industry SME Hours per week: 1 Hours during trading: 1 Contribute content to a new municipal market training initiative being launched by the MSRB. SIFMA AML & Financial Crimes Committee Type of business: Industry Participation New York, NY Start date: 1/1/2011 Primary Committee Member Hours per week: 0 Hours during trading: 0 Monthly SIFMA AML Cmmt meetings. 3 in-person meetings. Participation in dialogue with regulators. Attend the annual SIFMA AML & Financial Crimes Conference in NYC SIFMA Chief Risk Officer Committee (Private Client Grp) Type of business: Industry Participation New York, NY Start date: 4/1/2015 Regular Committee Member Hours per week: 0 Hours during trading: 0 Quarterly and Annual calls to discuss challenges and solutions facing Compliance Risk Managers within national and regional broker-dealer firms. FINRA - Complaint Initiatives Committee Type of business: Industry Participation New York, NY Start date: 10/1/2015 Committee Member Hours per week: 0 Hours during trading: 0 Quarterly meetings to learn and share thoughts about trends in member complaint reports, industry enforcement actions, self-reporting practices MSRB MuniEdPro CE Training Type of business: Industry Participation Washington, DC Start date: 3/28/2017 Industry SME Hours per week: 0 Hours during trading: 0 Contribute content to a new municipal market training initiative being launched by the MSRB. Time commitment will be completed during the months of March, April, May, and June 2018, and will be completed through conference call participation in 1 or 2 hour increments on 6 separate calls. National Association of Compliance Professionals NSCP Type of business: Industry Participation Cornwall Bridge, CT Start date: 1/1/2014 Chairperson for Roundtable Cmt Hours per week: 1 Hours during trading: 1 Coordinate three industry meetings with the roundtable leaders from 24 industry compliance officer discussion groups around the nation. SIFMA AML & Financial Crimes Committee Type of business: Industry Participation New York, NY Start date: 1/1/2011 Primary Committee Member Hours per week: 1 Hours during trading: 1 Monthly SIFMA AML Cmmt meetings. 3 in-person meetings. Participation in dialogue with regulators. Attend the annual SIFMA AML & Financial Crimes Conference in NYC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 30, 2009 - March 7, 2023
EDWARD JONES
RIA
CRD#: 250
ST LOUIS, MO
Past
January 29, 2009 - March 7, 2023
EDWARD JONES
BD
CRD#: 250
ST LOUIS, MO
Past
January 1, 2008 - December 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
January 1, 2008 - December 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 14, 1999 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ST. LOUIS, MO
Past
October 29, 1990 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EDWARD JONES
EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
RIA
Registered Investment Advisory firm - SEC (10/24/1963 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/15/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDWARD JONES
EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
RIA
Registered Investment Advisory firm - SEC (10/24/1963 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
12555 Manchester Road, St. Louis, MO 63131
Mailing Address
12555 Manchester Road, St. Louis, MO 63131-3710
Phone number
(314) 515-2000
Established
Missouri since 02/20/1941
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Large
# of Employees
29,003
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.
