Maryellen C. Farrelly
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.
Maryellen Christine Farrelly, who also goes by Maryellen Christine Sieminski, was a registered financial professional .
Maryellen is a previously registered financial professional and started their career in finance in 1981. Maryellen had worked at 12 firms and has passed the Series 63, SIE, Series 55 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
March 14, 2024 - March 25, 2025
EDWARD JONES
October 23, 2009 - March 25, 2025
EDWARD JONES
January 16, 2007 - October 30, 2007
HUDSON SECURITIES,INC.
April 4, 2005 - September 12, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
August 11, 2003 - March 17, 2005
CROWN FINANCIAL GROUP, INC.
October 2, 1995 - March 21, 2003
KNIGHT CAPITAL AMERICAS, L.P.
September 8, 1995 - October 2, 1995
KNIGHT CAPITAL AMERICAS, L.P.
September 14, 1993 - September 8, 1995
GOLDEN HARRIS CAPITAL GROUP, INC.
July 9, 1987 - July 21, 1993
AMERICAN SECURITIES BD CO., L.P.
February 26, 1986 - June 26, 1987
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
October 29, 1985 - February 13, 1987
R.C. STAMM & CO., INC.
April 9, 1985 - July 26, 1985
MURPHEY, MARSEILLES, SMITH & NAMMACK
January 19, 1984 - April 8, 1985
BREAN MURRAY & CO., INC.
April 13, 1981 - December 30, 1983
JANNEY MONTGOMERY SCOTT 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
Series 55
Date: 6/25/1999
Limited Representative-Equity Trader ExamCurrent 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.
