Evangelina Mullis-almon
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.
Evangelina Mullis-almon, who also goes by Eva Almon, Evangelina Mullis Almon, Eva Garces Mullis, Eva Mullis, Evangelina Garces Mullis, Evangelina Garces Mullis Almon, Evangelina Mullis Almon, Evangelina Garces Mullis-almon, was a registered financial professional .
Evangelina is a previously registered financial professional and started their career in finance in 1987. Evangelina had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 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
August 1, 2011 - January 3, 2017
EDWARD JONES
July 18, 2011 - January 3, 2017
EDWARD JONES
May 4, 2006 - April 25, 2011
CHARLES SCHWAB & CO., INC.
July 6, 2005 - February 3, 2006
CHASE INVESTMENT SERVICES CORP.
October 10, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 15, 2000 - July 22, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - July 22, 2002
WELLS FARGO INVESTMENTS, LLC
September 7, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 14, 1998 - September 29, 2000
TSB SECURITIES, INC.
January 11, 1996 - January 21, 1998
CETERA INVESTMENT SERVICES LLC
August 24, 1993 - December 13, 1995
LPL FINANCIAL LLC
February 25, 1987 - September 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
