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John P.
Field Supervision Director @Edward Jones
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WORK HISTORY
Field Supervision Director @Edward Jones
Tempe, AZ, US
In this role, I supervise branch offices as a registered Series 24 principal. I supervise financial advisors and registered representatives as well as their transactions with clients to ensure Regulation Best Interest and FINRA rules are followed in regards to suitability. I currently have the following responsibilities:1. Branch office manager for numerous branch offices.2. Review and approve outside activities, accounts, transactions, and activity in customer accounts as a registered series 9/10 and 24 principal. Coach and educate financial advisors, registered branch associates, and branch administrators on compliance best practices, FINRA rules, and Regulation Best Interest.4. Document and enforce compliance requirements and concerns. I currently hold the following FINRA and NASAA licenses: FINRA: Series 7,9,10 & 24NASAA: Series 63 & 66
EDUCATION
University of California, Merced
Bachelor’s Of Science, Management and Business Economics
ABOUT JOHN P.
I am currently a Field Supervision Director and registered Principal at Edward Jones in Phoenix Arizona. I am passionate about financial literacy, equity compensation, FINRA compliance, sales, leadership, estate planning, and retirement planning strategies. I currently hold the following FINRA and NASAA licenses: FINRA: Series 7,9,10 & 24NASAA: Series 63 & 66FINRA CRD# 71•••36
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