Robert Belka
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.
Robert Belka, who also goes by Rob L Belka, Robert L Belka, Robert Lawrence Belka, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2008. Robert had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2021 - April 11, 2024
EDWARD JONES
January 18, 2021 - April 11, 2024
EDWARD JONES
October 30, 2019 - November 8, 2019
MML INVESTORS SERVICES, LLC
October 29, 2019 - November 8, 2019
MML INVESTORS SERVICES, LLC
June 7, 2018 - April 15, 2019
SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC
February 26, 2018 - April 23, 2018
CUNA BROKERAGE SERVICES, INC.
February 16, 2018 - April 23, 2018
CUNA BROKERAGE SERVICES, INC.
January 8, 2018 - January 19, 2018
USAA INVESTMENT SERVICES COMPANY
January 9, 2015 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
January 9, 2015 - January 19, 2018
USAA FINANCIAL ADVISORS, INC.
August 20, 2014 - December 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2014 - December 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2012 - February 26, 2013
EDWARD JONES
May 15, 2012 - February 26, 2013
EDWARD JONES
February 4, 2011 - May 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2011 - May 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - January 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 24, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 27, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, 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 | 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.
