Pedro S. Chavez
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.
Pedro Sergio Chavez, who also goes by Pedro Chavez, was a registered financial professional .
Pedro is a previously registered financial professional and started their career in finance in 1999. Pedro had worked at 12 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
May 12, 2023 - June 13, 2026
EDWARD JONES
May 12, 2023 - June 13, 2026
EDWARD JONES
July 25, 2022 - January 30, 2023
LPL FINANCIAL LLC
July 25, 2022 - January 30, 2023
LPL FINANCIAL LLC
January 4, 2021 - February 2, 2021
LEVEL FOUR FINANCIAL, LLC
June 9, 2020 - February 2, 2021
LEVEL FOUR ADVISORY SERVICES
March 14, 2016 - June 1, 2020
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - June 1, 2020
BBVA SECURITIES INC.
September 12, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 11, 2009 - December 31, 2011
OSAIC FS, INC.
February 11, 2009 - December 31, 2011
OSAIC FS, INC.
July 7, 2006 - December 31, 2008
WOODBURY FINANCIAL SERVICES, INC.
July 30, 2002 - December 31, 2008
WOODBURY FINANCIAL SERVICES, INC.
November 19, 2001 - August 23, 2002
METROPOLITAN LIFE INSURANCE COMPANY
November 19, 2001 - August 23, 2002
MSI FINANCIAL SERVICES, INC.
July 12, 1999 - October 8, 2001
NYLIFE SECURITIES 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 | 160 |
| 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.
