Richard P. Verlin
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.
Richard Patrick Verlin, who also goes by Richard Patrick Verlin, Richard Verlin, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2017 - October 31, 2017
EDWARD JONES
February 10, 2017 - October 31, 2017
EDWARD JONES
July 25, 2016 - October 17, 2016
INTELLIGENT EDGE SECURITIES, LLC
June 16, 2014 - October 8, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 11, 2013 - April 24, 2014
CITIGROUP GLOBAL MARKETS INC.
October 11, 2011 - November 21, 2012
NEW ENGLAND SECURITIES
February 15, 2011 - April 15, 2011
CPI CAPITAL
June 29, 2010 - February 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2010 - February 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2010 - July 12, 2010
KESTRA INVESTMENT SERVICES, LLC
July 14, 2006 - June 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2005 - June 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 1993 - July 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 1992 - July 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1989 - July 7, 1992
CITIGROUP GLOBAL MARKETS INC.
March 7, 1988 - July 27, 1989
LEHMAN BROTHERS INC.
July 21, 1987 - March 7, 1988
E. F. HUTTON & COMPANY 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
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.
