Eric S. Stell
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.
Eric Scott Stell, who also goes by Scott Stell, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - June 15, 2016
EDWARD JONES
December 28, 2015 - February 18, 2016
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
February 19, 2015 - February 18, 2016
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
September 25, 2013 - February 12, 2015
TD AMERITRADE, INC.
September 25, 2013 - February 12, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 20, 2013 - February 12, 2015
TD AMERITRADE, INC.
December 3, 2003 - September 4, 2013
BB&T INVESTMENT SERVICES, INC.
November 6, 2003 - September 4, 2013
BB&T INVESTMENT SERVICES, INC.
February 21, 2003 - October 31, 2003
NBC SECURITIES, INC.
February 21, 2003 - October 31, 2003
NBC SECURITIES, INC.
August 24, 2000 - February 20, 2003
AMSOUTH INVESTMENT SERVICES, INC.
March 3, 1997 - February 20, 2003
AMSOUTH INVESTMENT SERVICES, INC.
February 27, 1995 - March 7, 1997
BARNETT INVESTMENTS, INC.
May 6, 1994 - January 16, 1995
CITIGROUP GLOBAL MARKETS 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.
