Eric J. Quenemoen
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 James Quenemoen was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 4 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
October 3, 2019 - November 5, 2025
EDWARD JONES
October 3, 2019 - November 5, 2025
EDWARD JONES
May 23, 2018 - September 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2018 - September 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2013 - June 23, 2016
CAPITAL ONE ADVISORS, LLC
March 11, 2013 - June 23, 2016
CAPITAL ONE INVESTING, LLC
October 12, 2011 - July 16, 2012
MVP AMERICAN SECURITIES
June 6, 2011 - July 20, 2011
FSIC
June 6, 2011 - July 20, 2011
FSIC
January 3, 2011 - June 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 18, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 12, 2007 - September 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 2007 - September 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 1999 - April 9, 2007
CAPITAL ONE INVESTING, LLC
August 26, 1999 - November 1, 1999
WELLS FARGO INVESTMENTS, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/8/2000
Limited Representative-Equity Trader ExamCurrent 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.
