David E. Fischer-Lodike is responsible for the capital markets and operations compliance efforts at Edward D. Jones & Co., L.P. in its St. Louis headquarters since December 2008. David entered the securities industry in 1984 when he joined A.G. Edwards & Sons, Inc. in St. Louis, MO. He served 24 years with A.G. Edwards, holding the position of Sr. Vice President and Compliance Sales Practices Manager, until the firm was acquired by Wachovia Securities in 2007. David continued his employment with Wachovia Securities in the capacity of Sr. Vice President and Chief Compliance Officer responsible for the firm's registrations and employee activities departments until December 2008.
During David's 26 year career in the securities industry, he has been responsible for the leadership of a variety of compliance duties which have included: agent, branch and firm registrations; employee pre-hire screening; heightened supervision; outside business activities; outside investment accounts; firm element continuing education; RR and branch manager compliance training initiatives; remedial training initiatives; internal discipline; internal branch inspections; regulatory affairs and examinations; policy and supervisory procedures development and maintenance; anti-money laundering compliance; compliance risk management; UK foreign affiliate compliance monitoring programs; and UK financial services affiliate money laundering reporting. David participates in panel discussions and regularly speaks at industry conferences on topics impacting the securities industry and investment advisory compliance.
David is a member of the SIFMA AML & Financial Crimes Committee, the National Society of Compliance Professionals (NSCP), the Securities Industry Continuing Education Program Content Committee, the NSCP Large Broker/Dealer Committee, and is a co-chairperson for the St. Louis regional NSCP Roundtable. David holds several securities registrations including the Series 7, 8, 14, 24, 65 and 79. David holds a Bachelor of Arts degree from Webster University, with an emphasis in accounting and business management, in addition to an Associate of Applied Science degree in accounting.