Brian Miles
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.
Brian Miles, who also goes by Brian D Miles, Brian David Miles, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2020 - March 31, 2021
EDWARD JONES
January 17, 2020 - March 31, 2021
EDWARD JONES
February 21, 2012 - November 1, 2019
VALIC FINANCIAL ADVISORS, INC.
February 21, 2012 - November 1, 2019
VALIC FINANCIAL ADVISORS, INC.
March 28, 2011 - December 31, 2011
INVESTMENTS FOR YOU, INC.
June 7, 2010 - July 29, 2010
MORGAN STANLEY
December 17, 1998 - June 12, 2000
LOCUST STREET SECURITIES, INC.
June 10, 1998 - October 7, 1998
FIRST UNION BROKERAGE SERVICES, INC.
August 27, 1992 - December 15, 1995
NATIONWIDE SECURITIES, LLC
September 20, 1991 - June 15, 1994
OSAIC FA, INC.
September 20, 1991 - June 16, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 18, 1990 - July 23, 1991
LEGEND CAPITAL CORPORATION
September 16, 1986 - May 14, 1990
METLIFE INVESTORS DISTRIBUTION COMPANY
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.
