Edward A. Mollica
Professional summary
Being a previously registered professional could mean that this person 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.
Edward A Mollica, who also goes by Edward Alan Mollica, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1981. Edward had worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2012 - October 27, 2014
WTS PROPRIETARY TRADING GROUP LLC
July 24, 1995 - October 13, 2010
KNIGHT CAPITAL AMERICAS, L.P.
January 28, 1995 - February 1, 1996
UBS FINANCIAL SERVICES INC.
April 7, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 20, 1992 - April 3, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 20, 1992 - April 3, 1992
EQUITABLE ADVISORS, LLC
November 27, 1981 - July 2, 1991
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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