Matthew Levy
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.
Matthew Levy was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1986. Matthew had worked at 15 firms and has passed the Series 65, 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
January 23, 2017 - March 5, 2019
EDWARD JONES
January 23, 2017 - March 5, 2019
EDWARD JONES
June 8, 2015 - August 11, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 22, 2013 - May 20, 2015
THE VERTICAL GROUP
October 31, 2011 - April 19, 2013
TEJAS SECURITIES GROUP, INC.
April 8, 2010 - November 8, 2011
ELEVATION, LLC
June 4, 2004 - March 9, 2010
LEDGEMONT CAPITAL MARKETS LLC
January 28, 2000 - May 25, 2004
MONNESS CRESPI HARDT & CO., INC.
April 3, 1997 - January 13, 2000
ROTH CAPITAL PARTNERS, LLC
September 4, 1996 - April 23, 1997
RODMAN & RENSHAW INC.
June 13, 1996 - August 13, 1996
MIDWOOD SECURITIES, INC.
October 26, 1995 - May 28, 1996
RODMAN & RENSHAW INC.
March 1, 1995 - October 27, 1995
THE GLASER CAPITAL CORPORATION
April 8, 1992 - October 15, 1994
DAKIN SECURITIES CORPORATION
November 7, 1990 - April 21, 1992
GILFORD SECURITIES INCORPORATED
January 22, 1990 - November 1, 1990
GRUNTAL & CO., L.L.C.
March 19, 1986 - January 31, 1990
SACKS INVESTMENT COMPANY, 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.
