Joseph F. Domek
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.
Joseph F Domek, who also goes by Joseph Francis Domek, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2019 - July 1, 2021
EDWARD JONES
July 19, 2019 - July 1, 2021
EDWARD JONES
March 28, 2018 - July 23, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 28, 2018 - July 23, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 5, 2017 - March 28, 2018
TSFG, LLC
April 3, 2017 - April 4, 2018
LPL FINANCIAL LLC
August 31, 2015 - March 31, 2017
WINTRUST INVESTMENTS LLC
August 31, 2015 - March 31, 2017
WINTRUST INVESTMENTS LLC
August 12, 2013 - July 6, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
June 6, 2012 - July 6, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
February 23, 2011 - June 7, 2012
LPL FINANCIAL LLC
June 21, 2005 - January 14, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 17, 1996 - February 17, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
January 8, 1992 - August 1, 1994
INVESTMENT NETWORK, INC.
March 22, 1990 - November 25, 1991
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 20, 1987 - February 5, 1990
MARKETING ONE SECURITIES, 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
Series 8
Date: 7/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
