Craig Fylling
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.
Craig Fylling, who also goes by Craig Edward Fylling, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1995. Craig had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 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
October 5, 2021 - June 20, 2026
EDWARD JONES
October 5, 2021 - June 20, 2026
EDWARD JONES
December 3, 2019 - October 4, 2021
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
December 2, 2019 - October 4, 2021
INTERNATIONAL ASSETS ADVISORY, LLC
September 15, 2017 - December 26, 2017
DOMINION PORTFOLIO MANAGEMENT, INC.
August 24, 2017 - November 25, 2019
DOMINION INVESTOR SERVICES, INC.
March 19, 2008 - September 10, 2015
LPL FINANCIAL LLC
March 17, 2008 - September 10, 2015
LPL FINANCIAL LLC
June 1, 2006 - February 7, 2008
CHASE INVESTMENT SERVICES CORP.
June 1, 2006 - February 7, 2008
CHASE INVESTMENT SERVICES CORP.
October 4, 2004 - June 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
October 4, 2004 - June 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
January 5, 1998 - October 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 5, 1998 - October 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 24, 1995 - December 31, 1995
WMA SECURITIES, INC.
May 24, 1995 - January 8, 1998
AMERIPRISE ADVISOR SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/23/1997
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 | 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.
