Henry J. Macfarland
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.
Henry Janes Macfarland IV, CFP®, who also goes by Henry J Macfarland, Henry Janes Macfarland, Henry Macfarland, Scot Macfarland, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2006. Henry had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
May 20, 2025 - September 8, 2026
EDWARD JONES
May 20, 2025 - September 8, 2026
EDWARD JONES
July 31, 2024 - June 9, 2025
MOMENTUM INDEPENDENT NETWORK INC.
July 31, 2024 - June 9, 2025
MOMENTUM INDEPENDENT NETWORK INC.
January 11, 2022 - June 9, 2025
HILLTOP SECURITIES INC.
January 11, 2022 - June 9, 2025
HILLTOP SECURITIES INC.
January 11, 2021 - February 1, 2022
CHARLES SCHWAB & CO., INC.
January 30, 2020 - February 1, 2021
SCHWAB WEALTH ADVISORY, INC.
January 19, 2018 - January 30, 2020
CHARLES SCHWAB & CO., INC.
December 12, 2016 - February 1, 2022
CHARLES SCHWAB & CO., INC.
June 27, 2016 - March 29, 2018
SCHWAB WEALTH INVESTMENT ADVISORY, INC.
September 18, 2014 - March 7, 2016
ASSET ONE LLC
August 21, 2014 - January 27, 2016
GIRARD SECURITIES, INC.
August 21, 2014 - January 27, 2016
GIRARD SECURITIES, INC.
January 17, 2013 - July 18, 2014
CHARLES SCHWAB & CO., INC.
January 17, 2013 - July 18, 2014
CHARLES SCHWAB & CO., INC.
May 19, 2009 - September 12, 2012
LPL FINANCIAL LLC
May 19, 2009 - September 12, 2012
LPL FINANCIAL LLC
February 22, 2007 - April 13, 2009
T. ROWE PRICE ADVISORY SERVICES, INC.
September 7, 2006 - April 13, 2009
T. ROWE PRICE INVESTMENT SERVICES, 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
What does exam status mean?
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 | 5,630,517 |
| AUM (Assets Under Management) | $ 1,013,608,323,988 |
Disclosures
| Regulatory Event | 183 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2026 | ||
| 07/25/2025 | ||
| 10/24/2024 |
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.
