Peter Bertone
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.
Peter Bertone, who also goes by Peter Rudolfo Bertone, Peter R Bertone, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 31, Series 6, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2021 - September 4, 2026
EDWARD JONES
October 25, 2019 - September 4, 2026
EDWARD JONES
September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - May 31, 2019
KEY INVESTMENT SERVICES LLC
February 22, 2013 - September 21, 2016
LPL FINANCIAL LLC
February 14, 2011 - December 31, 2011
LPL FINANCIAL LLC
February 9, 2011 - September 21, 2016
LPL FINANCIAL LLC
April 20, 2010 - February 7, 2011
NEW ENGLAND SECURITIES
March 29, 2007 - March 15, 2010
THE MUTUAL FUND STORE
October 20, 2004 - September 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - September 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 20, 2004
QUICK & REILLY, INC.
June 1, 1999 - October 20, 2004
QUICK & REILLY, INC.
February 10, 1997 - May 17, 1999
LEIGH BALDWIN & CO., LLC
October 17, 1995 - February 10, 1997
MORGAN STANLEY DW INC.
August 31, 1992 - November 27, 1992
PRUCO SECURITIES, 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
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 | 160 |
| 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.
