Stephen C. 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.
Stephen Craig Edwards, who also goes by Craig Edwards, S. Craig Edwards, Stephen C Edwards, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - July 29, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 1, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
November 23, 2012 - July 29, 2020
FIDELITY BROKERAGE SERVICES LLC
March 8, 2011 - November 13, 2012
NEW ENGLAND SECURITIES
April 2, 2010 - November 13, 2012
NEW ENGLAND SECURITIES
September 18, 2007 - October 9, 2009
CITIGROUP GLOBAL MARKETS INC.
April 12, 2005 - June 5, 2006
INTERLINK SECURITIES CORP.
April 26, 2002 - January 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 1998 - January 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 1994 - April 28, 1998
A. G. EDWARDS & SONS, INC.
June 14, 1989 - May 31, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
March 22, 1988 - March 9, 1989
SOURCE SECURITIES, INC.
May 15, 1987 - March 8, 1988
SECURITIES NETWORK, INC.
October 14, 1986 - May 15, 1987
UAN INVESTMENT CORP.
June 19, 1983 - March 7, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 2/6/1982
Non-Member General Securities ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
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.
