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Edward Roderick Yaman

CRD# 1012911·Registered 1981 - 1993
Previously Registered: Being a previously registered professional could mean that Edward 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.

Professional Summary

Edward Roderick Yaman was a registered financial advisor. Edward was a previously registered financial professional and started their career in finance 1981 - 1993. Edward had worked at 14 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

45 years in the financial services industry

Current & Past Employments

MEYERS POLLOCK ROBBINS, INC.·CRD# 13436
BD
October 15, 1992 - May 3, 1993
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
March 6, 1991 - May 17, 1991
RODMAN & RENSHAW INC.·CRD# 724
BD
November 21, 1990 - December 5, 1990
W.H. NEWBOLD'S SON & CO., INC.·CRD# 7575
BD
April 6, 1990 - August 9, 1990
GLOBAL CAPITAL SECURITIES, INC.·CRD# 13358
BD
January 31, 1990 - May 11, 1990
J. T. MORAN & CO., INC.·CRD# 15655
BD
March 21, 1989 - January 27, 1990
SUPER FUND SECURITIES CORP.·CRD# 18811
BD
June 17, 1987 - March 30, 1989
LEHMAN BROTHERS INC.·CRD# 7506
BD
February 7, 1986 - May 28, 1986
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
June 24, 1985 - January 18, 1986
CIBC WORLD MARKETS CORP.·CRD# 630
BD
September 7, 1984 - June 26, 1985
BECKER PARIBAS INCORPORATED·CRD# 7635
BD
September 30, 1983 - November 8, 1984
LADENBURG THALMANN & CO. INC.·CRD# 505
BD
March 31, 1983 - October 4, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555
BD
August 30, 1982 - May 3, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
October 22, 1981 - August 24, 1982

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Current Firm

MP
MEYERS POLLOCK ROBBINS, INC.

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436 / SEC#: 8-11797
BD
Cancelled by SEC on 06/20/2001

Contact Information

Established

New York since 11/27/1963

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1982About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Jun 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 1981About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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