Hannelore C. Fleck
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.
Hannelore C Fleck, who also goes by Hanna Christel Fleck, Hanna Fleck, Hannelore Christel Fleck, Hannelore - Hanna C Fleck, was a registered financial professional .
Hannelore is a previously registered financial professional and started their career in finance in 2006. Hannelore had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, 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
February 3, 2025 - July 25, 2025
EDWARD JONES
January 31, 2025 - July 25, 2025
EDWARD JONES
January 10, 2023 - March 1, 2024
CHARLES SCHWAB & CO., INC.
January 10, 2023 - March 1, 2024
CHARLES SCHWAB & CO., INC.
November 1, 2021 - July 28, 2022
AMERITAS ADVISORY SERVICES, LLC
September 17, 2018 - July 28, 2022
AMERITAS INVESTMENT COMPANY, LLC
August 15, 2018 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
August 11, 2017 - February 19, 2019
20/20 CAPITAL MANAGEMENT, INC
August 10, 2009 - September 7, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 10, 2009 - September 7, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 18, 2007 - August 12, 2009
SII INVESTMENTS, INC.
June 29, 2006 - August 12, 2009
SII INVESTMENTS, 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
Series 6TO
Date: 1/10/2023
Investment Company Products/Variable Contracts 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.
