Edward J. Strafaci
Professional summary
Edward Joseph Strafaci was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Edward had worked at 5 firms, which includes LIPPER CONVERTIBLES SERIES II L.P., LIPPER OFFSHORE CONVERTIBLES L.P., LIPPER & COMPANY L.P., LIPPER CONVERTIBLES L.P., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1998 - February 7, 2002
LIPPER CONVERTIBLES SERIES II, L.P.
October 1, 1993 - February 7, 2002
LIPPER OFFSHORE CONVERTIBLES, L.P.
September 22, 1992 - January 22, 2002
LIPPER & COMPANY, L.P.
December 2, 1985 - January 14, 2002
LIPPER CONVERTIBLES, L.P.
July 20, 1983 - December 5, 1985
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 11/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
LIPPER CONVERTIBLES SERIES II, L.P.
CRD#: 45041 / SEC#: , 8-50942
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIPPER HOLDINGS, LLC | GENERAL PARTNER | |
| BIDERMAN, ABRAHAM | EXECUTIVE VICE PRESIDENT; FINANCIAL/OPERATIONS PRINCIPAL | 2032813 |
| BLOCK, LAWRENCE STEVEN | GENERAL SECURITIES PRINCIPAL, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER; ROP; SROP; CROP | 3006613 |
| FINKEL, STEVEN | EXECUTIVE VICE PRESIDENT; FINANCIAL/OPERATIONS PRINCIPAL | 2035146 |
| LIPPER, KENNETH | GENERAL SECURITIES PRINCIPAL, PRESIDENT, CHIEF EXECUTIVE OFFICER | 310484 |
Red Flags
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