Joseph E. Iarrobino
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.
Joseph Emilio Iarrobino, who also goes by Joseph Emilio Iarrobino, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2015 - May 2, 2016
EDWARD JONES
October 15, 2015 - May 2, 2016
EDWARD JONES
February 19, 2014 - September 29, 2015
TRANSAMERICA CAPITAL, LLC
September 1, 2011 - February 21, 2014
NUVEEN ASSET MANAGEMENT, LLC
January 9, 2008 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
October 31, 2007 - February 21, 2014
NUVEEN SECURITIES, LLC
September 29, 2005 - February 1, 2007
MFS INSTITUTIONAL ADVISORS INC.
September 8, 2005 - January 30, 2007
MFS FUND DISTRIBUTORS, INC.
May 16, 2005 - September 6, 2005
ALLSPRING FUNDS MANAGEMENT, LLC
May 16, 2005 - September 6, 2005
ALLSPRING FUNDS DISTRIBUTOR, LLC
January 9, 2004 - January 3, 2005
COREBRIDGE CAPITAL SERVICES, INC.
March 13, 2002 - November 18, 2004
LORD, ABBETT & CO. LLC
February 4, 2002 - December 18, 2003
LORD ABBETT DISTRIBUTOR LLC
August 3, 2000 - February 8, 2002
STRONG INVESTMENTS, INC.
April 6, 2000 - June 20, 2000
LYNCH, JONES & RYAN LLC
August 3, 1998 - March 20, 2000
DWS DISTRIBUTORS, 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.
