Jose R. Jimenez Murat
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.
Jose Rodrigo Jimenez Murat, who also goes by Jose R Jimenez, Rodrigo Jimenez, Jose Rodrigo Jimenez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2010. Jose had worked at 11 firms and has passed the Series 66, 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
November 24, 2023 - March 28, 2024
EDWARD JONES
November 24, 2023 - March 28, 2024
EDWARD JONES
August 18, 2022 - November 22, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2022 - November 22, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2022 - June 7, 2022
CETERA INVESTMENT ADVISERS LLC
January 24, 2022 - June 7, 2022
CETERA INVESTMENT SERVICES LLC
June 6, 2019 - January 20, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2019 - January 20, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2017 - June 11, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 17, 2017 - June 11, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 14, 2016 - August 9, 2017
PRUCO SECURITIES, LLC.
November 9, 2016 - August 9, 2017
PRUCO SECURITIES, LLC.
January 14, 2016 - November 2, 2016
LARADORBECKER SECURITIES CORPORATION
July 17, 2013 - October 19, 2015
MORGAN STANLEY
July 17, 2013 - October 19, 2015
MORGAN STANLEY
June 7, 2013 - July 23, 2013
UBS FINANCIAL SERVICES INC.
December 18, 2012 - July 23, 2013
UBS FINANCIAL SERVICES INC.
October 1, 2012 - December 19, 2012
J.P. MORGAN SECURITIES LLC
January 13, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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.
