Jeffrey D. Francom
Professional summary
Jeffrey David Francom was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey David Francom was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1996. Jeffrey had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2008 - September 30, 2009
EDWARD JONES
May 23, 2008 - September 30, 2009
EDWARD JONES
January 1, 2008 - May 22, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 22, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 22, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 26, 2005 - January 13, 2006
MML INVESTORS SERVICES, LLC
October 4, 2005 - November 2, 2005
PRINCIPAL SECURITIES, INC.
October 22, 2004 - November 2, 2005
PRINCIPAL SECURITIES, INC.
May 18, 2004 - June 15, 2004
KEYBANC CAPITAL MARKETS INC.
April 19, 2004 - June 15, 2004
KEYBANC CAPITAL MARKETS INC.
September 27, 1996 - July 31, 1997
MORGAN STANLEY DW 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.
