Anthony D. Nealeigh
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.
Anthony D Nealeigh, who also goes by Anthony David Nealeigh, Anthony Nealeigh, Tony D Nealeigh, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2011. Anthony had worked at 13 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
August 23, 2024 - November 14, 2024
EDWARD JONES
August 23, 2024 - November 14, 2024
EDWARD JONES
January 5, 2023 - April 16, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2023 - April 16, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 27, 2022 - April 6, 2022
VALIC FINANCIAL ADVISORS, INC.
January 27, 2022 - April 6, 2022
VALIC FINANCIAL ADVISORS, INC.
April 19, 2021 - November 22, 2021
BALANCE NETWORK FINANCIAL SERVICES LLC
August 17, 2020 - April 28, 2021
EMPIRIKAL PARTNERS LLC
May 1, 2019 - March 19, 2020
MORGAN STANLEY
April 5, 2019 - March 19, 2020
MORGAN STANLEY
June 29, 2018 - October 11, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2015 - February 7, 2018
VANGUARD MARKETING CORPORATION
October 16, 2014 - April 17, 2015
CHARLES SCHWAB & CO., INC.
October 16, 2014 - April 17, 2015
CHARLES SCHWAB & CO., INC.
July 30, 2013 - June 4, 2014
STRATEGIC ADVISERS LLC
July 29, 2013 - June 2, 2014
FIDELITY BROKERAGE SERVICES LLC
August 8, 2012 - July 10, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 8, 2012 - July 10, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 8, 2011 - January 19, 2012
MORGAN STANLEY
July 4, 2011 - January 19, 2012
MORGAN STANLEY
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.
