Donald W. Aubrey
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.
Donald Willis Aubrey, CFP®, who also goes by Donald W Aubrey, Donald Willis Aubrey, Will Aubrey, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1997. Donald had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2018 - September 19, 2023
EDWARD JONES
August 29, 2018 - September 19, 2023
EDWARD JONES
July 13, 2018 - September 11, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 12, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
June 7, 2014 - August 17, 2018
FIDELITY BROKERAGE SERVICES LLC
February 24, 2012 - March 13, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 23, 2012 - March 13, 2013
RAYMOND JAMES & ASSOCIATES, INC.
May 2, 2011 - February 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2011 - February 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2005 - April 17, 2006
FIFTH THIRD SECURITIES, INC.
October 28, 2005 - April 17, 2006
FIFTH THIRD SECURITIES, INC.
October 15, 2002 - November 18, 2005
STRATEGIC ADVISERS LLC
June 8, 1998 - November 18, 2005
FIDELITY BROKERAGE SERVICES LLC
April 3, 1997 - April 28, 1998
PRUDENTIAL EQUITY GROUP, 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
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.
