Articles Tagged with Edward Jones

David BartfieldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Colorado-based Edward Jones broker/adviser David Bartfield has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bartfield (CRD# 4511930).

David Bartfield has spent 14 years in the securities industry and has been registered with Edward Jones in Aurora, Colorado since 2013. Previous registrations include WTS Proprietary Trading Group in New York, New York (2012-2013); AXA Advisors in Denver, Colorado (2010-2012); Northwestern Mutual Investment Services in Denver, Colorado (2009); Jackson National Life Distributors in Denver, Colorado (2007-2008); AG Edwards & Sons in Milwaukee, Wisconsin (2006-2007); Chase Investment Services Corporation in Chicago, Illinois (2005-2006); Banc One Securities Corporation in Chicago, Illinois (2005); and RBC Dain Rauscher in New York, New York (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 22, 2013; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on May 2, 2002. He is a registered broker and investment adviser with 13 US states and territories: Alabama, Arizona, Colorado, Florida, Illinois, Maryland, Michigan, New Jersey, New Mexico, Texas, Virginia, Washington, and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

ronald mccookPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former Georgia-based Edward Jones broker/adviser James Walters was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walters (CRD# 5943354).

James Walters has spent six years in the securities industry and was registered with Edward Jones in Macon, Georgia from 2011-2018. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 26, 2011, and Series 7 (General Securities Representative Examination), which he obtained on September 1, 2011. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

Gerald Pitz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that New York-based Edward Jones broker Gerald Pitz has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pitz (CRD# 2489786).

Gerald Pitz has spent 23 years in the securities industry and has been registered with Edward Jones in Delmar, New York since 1994. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 1994, and Series 7 (General Securities Representative Examination), which he obtained on June 16, 1994. He is a registered broker with 35 US states and territories and with four self-regulatory organizations: FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.

Eli SanchezPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2017 indicate that former Texas-based Edward Jones broker/adviser Eli Sanchez, who has received a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 5103663).

Eli Sanchez has spent ten years in the securities industry and was most recently registered with Edward Jones in San Antonio, Texas from 2006 through 2017. He has no previous registrations. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 25, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 27, 2006; and Series 7 (General Securities Representative Examination), which he obtained on April 24, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, Eli Sanchez has received one pending customer complaint and was discharged from his former employer in connection to alleged rule violations.