Edward P. Perley
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 Peter Perley JR, who also goes by Edward Peter Perley, was a registered financial advisor .
Edward is a previously registered financial advisor and started their career in finance in 1982. Edward had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2017 - July 26, 2017
R.W.PRESSPRICH & CO.
August 25, 2015 - February 14, 2017
GRIFFIN SECURITIES, INC.
July 2, 2012 - August 18, 2014
RAFFERTY CAPITAL MARKETS, LLC
June 10, 2011 - April 25, 2012
HEDGEYE RISK MANAGEMENT, LLC
March 25, 2010 - May 27, 2011
HAPOALIM SECURITIES USA, INC.
April 1, 2009 - March 23, 2010
MCMAHAN SECURITIES CO. L.P.
January 3, 2006 - April 1, 2009
CRT CAPITAL GROUP LLC
May 6, 2005 - November 29, 2005
FM PARTNERS HOLDINGS LLC
June 16, 2000 - May 10, 2005
LAZARD FRERES & CO. LLC
June 15, 1998 - June 6, 2000
CREDIT AGRICOLE SECURITIES (USA) INC.
February 21, 1997 - May 27, 1998
HSBC SECURITIES (USA) INC.
May 25, 1995 - January 23, 1997
RODMAN & RENSHAW INC.
June 24, 1993 - March 31, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
April 28, 1987 - July 29, 1989
CITICORP FINANCIAL SERVICES,INC.
March 26, 1985 - February 4, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1984 - March 21, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
June 22, 1983 - April 20, 1984
CIBC WOOD GUNDY SECURITIES CORP.
September 24, 1982 - January 21, 1983
NATIONAL SECURITIES & RESEARCH CORPORATION
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 8
Date: 12/18/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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