Jerry W. Price
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.
Jerry Wayne Price was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1973. Jerry had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2007 - October 4, 2016
EDWARD JONES
May 11, 2007 - October 4, 2016
EDWARD JONES
January 1, 2007 - May 8, 2007
RIVERSOURCE DISTRIBUTORS, INC.
November 1, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
November 1, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 1995 - December 31, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 24, 1995 - October 12, 2004
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 22, 1993 - November 23, 1993
SOLOMON ADVISORS
September 23, 1988 - December 31, 1990
VOYA FINANCIAL ADVISORS, INC.
February 21, 1986 - October 17, 1988
USLIFE EQUITY SALES CORP.
July 20, 1979 - December 6, 1985
ADVANTAGE CAPITAL CORPORATION
April 18, 1978 - July 25, 1979
NORTH AMERICAN MANAGEMENT, INC.
January 14, 1977 - August 17, 1978
PROVIDENT MARKETING CORPORATION
April 29, 1975 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
April 29, 1975 - October 1, 1983
ALLSTATE ASSURANCE COMPANY
June 15, 1974 - May 28, 1975
HIMCO DISTRIBUTION SERVICES COMPANY
March 13, 1973 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
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
Series 1
Date: 3/9/1973
Registered Representative ExaminationCurrent 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.
