Michael J. Popick
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 Joseph Popick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 14 firms and has passed the Series 66, Series 63 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
September 7, 2012 - April 29, 2014
EDWARD JONES
September 7, 2012 - April 29, 2014
EDWARD JONES
November 30, 2009 - September 13, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 30, 2009 - September 13, 2012
BANCWEST INVESTMENT SERVICES, INC.
February 1, 2007 - November 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - November 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 2, 2002 - February 1, 2007
ATLAS SECURITIES, LLC
March 12, 1997 - November 29, 2002
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
September 22, 1995 - April 3, 1997
EURO-ATLANTIC SECURITIES INC.
October 9, 1990 - September 25, 1995
SCHNEIDER SECURITIES, INC.
January 8, 1990 - September 25, 1990
TRI-BRADLEY INVESTMENTS
January 8, 1986 - January 5, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
September 19, 1985 - January 1, 1986
FIRST EASTERN SECURITIES CORPORATION
December 5, 1984 - September 19, 1985
J. W. GANT & ASSOCIATES, INC.
September 10, 1984 - December 11, 1984
CHESLEY AND DUNN, INC.
July 31, 1984 - September 10, 1984
R.B. MARICH, INC.
July 26, 1984 - August 3, 1984
VANTAGE SECURITIES OF COLORADO, 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.
