Edward W. Casparius
Professional summary
Edward Werner Casparius, who also goes by Ed W Casparius, Edward W Casparius, is a registered financial professional currently at AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Minneapolis, Minnesota.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1983. Edward has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Edward Werner Casparius's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2015 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402October 22, 2013 - July 30, 2014
DAVID LERNER ASSOCIATES, INC.
June 9, 2006 - May 2, 2008
REUTERS TRANSACTION SERVICES LLC
November 5, 2002 - December 17, 2004
RBC CAPITAL MARKETS CORPORATION
April 2, 2001 - November 7, 2002
KEYBANC CAPITAL MARKETS INC.
September 26, 1989 - October 19, 2000
COMMERZBANK CAPITAL MARKETS CORP.
April 19, 1983 - October 14, 1989
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2015)
Exams
Series 15
Date: 5/31/1984
Foreign Currency Options ExaminationFINRA
Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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