Melody A. Johnson
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.
Melody A Johnson, who also goes by Melody A Bond, Melody Ann Bond, Melody Ann Johnson, was a registered financial professional .
Melody is a previously registered financial professional and started their career in finance in 1986. Melody had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - April 12, 2019
EDWARD JONES
September 9, 2016 - April 12, 2019
EDWARD JONES
September 2, 2015 - September 20, 2016
LPL FINANCIAL LLC
August 26, 2015 - September 20, 2016
LPL FINANCIAL LLC
June 7, 2011 - August 11, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
June 6, 2011 - August 11, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
March 30, 2009 - May 27, 2011
FIFTH THIRD SECURITIES, INC.
March 17, 2009 - May 27, 2011
FIFTH THIRD SECURITIES, INC.
July 11, 2008 - March 19, 2009
MSI FINANCIAL SERVICES, INC.
September 21, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 21, 2006 - March 19, 2009
MSI FINANCIAL SERVICES, INC.
March 3, 2005 - October 12, 2006
COLONIAL BROKERAGE, INC.
September 15, 1999 - April 7, 2000
IFMG SECURITIES, INC.
September 7, 1999 - March 1, 2005
SOUTHTRUST SECURITIES, LLC
October 1, 1997 - August 23, 1999
LUMENT SECURITIES, LLC
February 21, 1995 - November 19, 1997
BARNETT INVESTMENTS, INC.
January 1, 1994 - February 17, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
August 18, 1993 - January 7, 1994
INVEST FINANCIAL CORPORATION
September 2, 1992 - August 24, 1993
DETWILER FENTON WEALTH MANAGEMENT INC
January 13, 1992 - August 4, 1992
MARKETING ONE SECURITIES, INC.
February 20, 1986 - September 5, 1990
PRUCO SECURITIES, LLC.
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.
