Consent Order No. CO-25-202525-S: Edward D. Jones & Co., L.P.

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IN THE MATTER OF: *

• CONSENT ORDER

EDWARD D. JONES & CO., L.P. * No. CO-25-202525-S * (CRD No. 250) * * (“Respondent”) * *

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I. PRELIMINARY STATEMENT
WHEREAS, the Banking Commissioner (“Commissioner”) is charged with the administration of
Chapter 672a of the General Statutes of Connecticut, the Connecticut Uniform Securities Act (“Act”), and
Sections 36b-31-2 to 36b-31-33, inclusive, of the Regulations of Connecticut State Agencies promulgated under the Act (“Regulations”); WHEREAS, Respondent Edward D. Jones & Co., L.P. (“Edward Jones” or “Respondent”) has its principal place of business at 12555 Manchester Road, St. Louis, Missouri 63131-3710, and has been registered as a broker-dealer under the Act since December 5, 1986; WHEREAS, the North American Securities Administrators Association, Inc. (“NASAA”) is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators;

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16. Nothing in this Consent Order affects Respondent’s testimonial obligations or right to take legal
positionsin litigation in which the Commissioner is not a party. Evidence of any compromise offers and negotiations of the partiesrelated to the Consent Order, including the Consent Order and its terms and any conduct or statements made during compromise negotiations,should not be used as evidence against any Party in any proceeding to prove or disprove the validity or amount of a disputed claim except in an action or proceeding to interpret or enforce this Consent Order.
17. This Consent Order and any dispute related thereto shall be construed and enforced in
accordance with, and governed by, the laws of the State of Connecticut without regard to any choice of law principles. NOW THEREFORE, the Commissioner enters the following:

1. The Statement of Facts, Violations of Law and Consent Order set forth above, be and are
   hereby entered;
2. Entry of this Consent Order by the Commissioner is without prejudice to the right of the
   Commissioner to take enforcement action against Respondent based upon a violation of this Consent Order if the Commissioner determines that compliance with the terms herein is not being observed or if any representation made by Respondent in connection with this matter is subsequently determined to be untrue; and
3. This Consent Order shall become final when entered.
   So ordered at Hartford, Connecticut this 8th day of October 2025. ____ /s/__________________ Jorge L. Perez Banking Commissioner

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CONSENT TO ENTRY OF ORDER
I, Keir Gumbs, state on behalf of Edward D. Jones & Co., L.P., that I have read the foregoing Consent Order; that I know and fully understand its contents; that I am authorized to execute this Consent Order on behalf of Edward D. Jones & Co., L.P.; that Edward D. Jones & Co., L.P. agrees freely and without threat or coercion of any kind to comply with the terms and conditions stated herein; and that Edward D. Jones & Co., L.P. voluntarily consents to the entry of this Consent Order, expressly waiving any right to a hearing on the matters described herein. Edward D. Jones & Co., L.P. By: /s/______________ Keir Gumbs Chief Legal Officer State of: [Blank in Original] County of: [Blank in Original] On this the 2 day of October, 2025, before me, the undersigned officer, personally appeared Keir Gumbs, who acknowledged himself to be the Chief Legal Officer of Edward D. Jones & Co., L.P., a limited partnership, and that he, as such Keir Gumbs [sic], being authorized so to do, executed the foregoing instrument for the purposes therein contained, by signing the name of the limited partnership by himself as Keir Gumbs [sic]. In witness whereof I hereunto set my hand. /s/ Notary Public Date Commission Expires: 2/16/2027