Vernon J. Hooper
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.
Vernon Jones Hooper, who also goes by Butch Hooper, Vernon J Hooper, Vernon Jones Hooper, was a registered financial professional .
Vernon is a previously registered financial professional and started their career in finance in 1979. Vernon had worked at 15 firms and has passed the Series 63, SIE, Series 7 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
January 25, 2007 - May 4, 2021
EDWARD JONES
June 19, 2000 - May 4, 2021
EDWARD JONES
August 30, 1999 - June 20, 2000
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - September 1, 1999
IFMG SECURITIES, INC.
February 4, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
November 18, 1996 - June 20, 2000
NATCITY INVESTMENTS, INC.
August 3, 1995 - November 27, 1996
HORNOR, TOWNSEND & KENT, LLC
April 7, 1993 - August 28, 1995
ADVEST, INC.
December 23, 1992 - April 19, 1993
IFG NETWORK SECURITIES, INC.
October 13, 1989 - December 31, 1992
PLANNED INVESTMENTS INC.
November 17, 1988 - October 17, 1989
INVESTACORP, INC.
February 24, 1986 - December 3, 1988
FSC SECURITIES CORPORATION
May 19, 1983 - December 19, 1985
OSAIC FS, INC.
February 14, 1980 - July 6, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 14, 1980 - July 6, 1982
OSAIC FA, INC.
March 1, 1979 - April 3, 1980
SECURITIES MANAGEMENT & RESEARCH, INC.
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 1
Date: 2/16/1979
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.
