George Mihalko
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.
George Mihalko, who also goes by George M Mihalko, George Michael Mihalko, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1989. George had worked at 12 firms and has passed the Series 66, Series 65, 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
August 27, 2019 - July 25, 2023
EDWARD JONES
August 26, 2019 - July 25, 2023
EDWARD JONES
July 9, 2019 - August 27, 2019
CADARET, GRANT & CO., INC.
July 9, 2019 - August 27, 2019
CADARET, GRANT & CO., INC.
March 10, 2017 - February 19, 2019
FORESIDE FUND SERVICES, LLC
January 27, 2017 - March 6, 2017
ALT FUND DISTRIBUTORS LLC
April 11, 2016 - January 26, 2017
ALT FUND DISTRIBUTORS LLC
March 15, 2011 - January 11, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
April 5, 2005 - January 28, 2011
ALLSPRING FUNDS MANAGEMENT, LLC
April 1, 2005 - January 28, 2011
ALLSPRING FUNDS DISTRIBUTOR, LLC
July 13, 2004 - March 31, 2005
STEPHENS
July 12, 2004 - March 31, 2005
STEPHENS
August 20, 2003 - July 28, 2004
PRINCIPAL FUNDS DISTRIBUTOR, INC.
August 16, 2002 - December 3, 2004
LORD, ABBETT & CO. LLC
March 12, 1997 - July 21, 2003
LORD ABBETT DISTRIBUTOR LLC
November 21, 1989 - February 14, 1997
ALLIANCEBERNSTEIN INVESTMENTS, 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.
