Stephen F. Mixon
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.
Stephen Fletcher Mixon, who also goes by Stephen F Mixon, Steve Fletcher Mixon, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 12, Series 4, Series 53 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
February 15, 2019 - October 10, 2023
EDWARD JONES
February 15, 2019 - October 10, 2023
EDWARD JONES
January 19, 2017 - October 1, 2018
FROST INVESTMENT SERVICES
December 14, 2015 - October 1, 2018
FROST BROKERAGE SERVICES, INC.
January 7, 2013 - October 1, 2015
INVESTMENT PROFESSIONALS, INC.
January 7, 2013 - October 1, 2015
INVESTMENT PROFESSIONALS, INC.
October 15, 2010 - August 2, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
March 17, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
February 18, 2010 - March 17, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 18, 2010 - July 26, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 14, 2000 - December 5, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 19, 2010
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - January 19, 2010
WELLS FARGO INVESTMENTS, LLC
January 12, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
July 17, 1996 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 14, 1995 - July 2, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 15, 1993 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
September 15, 1989 - March 28, 1992
HIMCO DISTRIBUTION SERVICES COMPANY
January 1, 1988 - May 11, 1989
MORGAN STANLEY DW INC.
February 4, 1987 - November 30, 1987
ROTAN MOSLE 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 12
Date: 7/26/2000
NYSE Branch Manager ExaminationCurrent 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.
