Richard A. Bagby
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 A Bagby, who also goes by Richard A. Bagby, Richard Alan Bagby, Richard Bagby, Rick Bagby, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2024 - August 4, 2025
EDWARD JONES
July 11, 2024 - August 4, 2025
EDWARD JONES
September 27, 2023 - July 2, 2024
J.P. MORGAN SECURITIES LLC
September 27, 2023 - July 2, 2024
J.P. MORGAN SECURITIES LLC
March 30, 2023 - August 11, 2023
JOHNSON BRUNETTI
June 21, 2022 - January 4, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 25, 2022 - December 21, 2022
FIDELITY BROKERAGE SERVICES LLC
February 22, 2012 - April 2, 2012
SOMERSET SECURITIES, INC.
September 2, 2009 - May 14, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 15, 2007 - October 1, 2007
HORACE MANN INVESTORS, INC.
October 30, 2001 - September 14, 2002
MML INVESTORS SERVICES, LLC
August 28, 2001 - November 8, 2001
CINCINNATI ANALYSTS, INC.
January 22, 2001 - June 29, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
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 7TO
Date: 4/25/2022
General Securities Representative 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.
