David J. Wines
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 J Wines, who also goes by David Joel Wines, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2013 - October 1, 2021
EDWARD JONES
September 23, 2013 - October 1, 2021
EDWARD JONES
January 16, 2013 - September 20, 2013
MIDWESTERN SECURITIES TRADING COMPANY, LLC
January 16, 2013 - September 20, 2013
MIDWESTERN SECURITIES TRADING COMPANY, LLC
January 2, 2009 - January 22, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 10, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 3, 2004 - January 22, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 2003 - May 24, 2004
ALANAR INCORPORATED
September 17, 2001 - November 16, 2004
LCM CAPITAL MANAGEMENT INC
July 13, 2001 - March 28, 2003
LASALLE ST SECURITIES, L.L.C.
December 19, 2000 - September 28, 2001
AUERBACH, POLLAK & RICHARDSON INC.
July 28, 1999 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
September 15, 1994 - July 30, 1999
SCHNEIDER SECURITIES, INC.
July 6, 1994 - September 23, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 13, 1994 - July 6, 1994
LAKESHORE FINANCIAL CORP.
September 1, 1993 - April 20, 1994
WESTFIELD FINANCIAL CORPORATION
July 18, 1991 - August 4, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
February 2, 1990 - June 28, 1991
TUCKER ANTHONY INCORPORATED
December 6, 1988 - February 8, 1990
LEHMAN BROTHERS INC.
May 3, 1985 - December 15, 1988
BLINDER, ROBINSON & CO., 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.
