John C. Dusel
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.
John Christian Dusel, who also goes by Jack Dusel, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 12 firms and has passed the Series 65, Series 63, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2009 - November 4, 2013
EDWARD JONES
April 24, 2009 - November 4, 2013
EDWARD JONES
October 18, 1995 - April 14, 2009
UBS FINANCIAL SERVICES INC.
October 26, 1993 - April 14, 2009
UBS FINANCIAL SERVICES INC.
June 11, 1990 - November 5, 1993
ADVEST, INC.
April 13, 1988 - June 29, 1990
OPPENHEIMER & CO. INC.
January 27, 1986 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
January 27, 1978 - January 28, 1986
TUCKER ANTHONY INCORPORATED
April 28, 1976 - December 23, 1977
MOSELEY, HALLGARTEN & ESTABROOK INC
April 26, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
March 6, 1974 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
July 2, 1973 - March 18, 1974
DUPONT WALSTON, INCORPORATED
February 20, 1973 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
August 22, 1969 - May 10, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 10/27/1977
AMEX Put and Call ExamSeries 1
Date: 10/4/1968
Registered Representative ExaminationCurrent 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.
