Paul L. Edwards
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.
Paul Leonard Edwards was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 5 firms and has passed the Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 1999 - December 14, 1999
CAPITAL BROKERAGE CORPORATION
November 5, 1997 - March 2, 1999
NEW ENGLAND SECURITIES
January 1, 1986 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 1, 1986 - May 21, 1997
SIGNATOR INVESTORS, INC.
May 21, 1985 - December 17, 1985
VP DISTRIBUTORS LLC
February 28, 1983 - May 21, 1997
SIGNATOR INVESTORS, INC.
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
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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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