Joe J. Correnti
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.
Joe John Correnti III, who also goes by Joseph J Correnti III, Joseph J Correnti, Joseph John Correnti III, Joseph John Correnti, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1995. Joe had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 16, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - June 29, 2021
EDWARD JONES
January 18, 2019 - June 29, 2021
EDWARD JONES
October 3, 2017 - December 31, 2017
TD AMERITRADE, INC.
October 3, 2017 - January 7, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 3, 2017 - December 31, 2017
TD AMERITRADE, INC.
March 20, 2014 - December 31, 2017
SCOTTRADE INVESTMENT MANAGEMENT
April 11, 2013 - December 31, 2017
SCOTTRADE, INC.
July 13, 2007 - March 28, 2013
EDWARD JONES
July 13, 2007 - March 28, 2013
EDWARD JONES
September 21, 2005 - June 22, 2007
A. G. EDWARDS & SONS, INC.
September 21, 2005 - June 22, 2007
A. G. EDWARDS & SONS, INC.
August 6, 2004 - September 26, 2005
MONETA GROUP INVESTMENT ADVISORS, LLC
May 4, 2004 - June 15, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 18, 2003 - March 1, 2004
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 19, 2000 - December 16, 2002
WINTRUST INVESTMENTS LLC
April 9, 1998 - July 7, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 7, 1997 - April 15, 1998
EDWARD JONES
March 19, 1997 - October 8, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 29, 1995 - March 20, 1997
EDWARD JONES
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: 3/29/2024
General Securities Representative ExaminationSeries 8
Date: 5/2/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
