David M. Brown

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CRD#: 3223271

Professional summary

David Michael Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, David had worked at 2 firms, which includes EDWARD JONES, CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 27, 2006 - January 7, 2009

EDWARD JONES

RIA

CRD#: 250

GIBSON CITY, IL

Past

February 21, 2003 - January 7, 2009

EDWARD JONES

CRD#: 250

GIBSON CITY, IL

Past

October 27, 2000 - February 27, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOURBONNAIS, IL

Past

June 24, 1999 - February 27, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDWARD JONES

EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES

CRD#: 250 / SEC#: 801-3297, 8-759

RIA

Registered Investment Advisory firm - SEC (10/24/1963 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/12/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/23/1999

General Securities Representative Examination

Current Firm

EDWARD JONES

EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES

CRD#: 250 / SEC#: 801-3297, 8-759

RIA

Registered Investment Advisory firm - SEC (10/24/1963 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

12555 Manchester Road, St. Louis, MO 63131

Mailing Address

12555 Manchester Road, St. Louis, MO 63131-3710

Phone number

(314) 515-2000

Established

Missouri since 02/20/1941

Firm type

Other Types of Legal Formation

Fiscal year end

December

Firm Size

Large

# of Employees

29,003

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

EDWARD JONES INVESTMENT ADVISORY PROGRAM (11/6/2025)

EDWARD JONES ADVISORY SOLUTIONS UNIFIED MANAGED ACCOUNT (UMA) MODELS BROCHURE (10/31/2025)

EDWARD JONES GENERATIONS FINANCIAL PLANNING BROCHURE (9/26/2025)

EDWARD JONES RETIREMENT PLAN SERVICES BROCHURE (8/28/2025)

EDWARD JONES BRANCH OFFICE FINANCIAL PLANNING SERVICES BROCHURE (5/1/2025)

EDWARD JONES GUIDED SOLUTIONS FLEX ACCOUNT BROCHURE (5/1/2025)

EDWARD JONES ADVISORY SOLUTIONS FUND MODELS BROCHURE (5/1/2025)

EDWARD JONES FINANCIAL ADVISOR MANAGED SOLUTIONS ACCOUNT BROCHURE (5/1/2025)

EDWARD JONES GUIDED SOLUTIONS FUND ACCOUNT BROCHURE (5/1/2025)

EDWARD JONES SMA MODEL PORTFOLIOS BROCHURE (2/20/2025)

EDWARD JONES TRANSITIONAL RETIREMENT ACCOUNT BROCHURE (2/20/2025)

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	Cover Page	Report
10/24/2024	Cover Page	Report
09/21/2023	Cover Page	Report

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.

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David M. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EDWARD JONES

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/1999

Series 63

Date: 7/6/1999

Series 3

Date: 8/12/1999

Series 7

Date: 6/23/1999

Current Firm

EDWARD JONES

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

EDWARD JONES

TRUST BUT VERIFY

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