Vicki D. Edwardsbarone
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.
Vicki Dawn Edwardsbarone, who also goes by VIcki Barone, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1983. Vicki had worked at 9 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2012 - June 21, 2013
PENNALUNA & COMPANY
February 29, 1996 - April 10, 2019
GVC CAPITAL LLC
April 12, 1995 - November 13, 1996
LUMIERE SECURITIES, INC.
June 15, 1988 - December 31, 1993
CETERA ADVISORS LLC
August 12, 1986 - October 6, 1987
THOMSON MCKINNON SECURITIES INC.
February 10, 1986 - August 20, 1986
J. W. GANT & ASSOCIATES, INC.
August 19, 1985 - December 27, 1985
YORK WORLD WIDE INVESTMENTS, INC.
August 9, 1983 - August 22, 1983
FIRST FINANCIAL SECURITIES, INC.
July 21, 1983 - August 7, 1985
AMERICAN FRONTEER FINANCIAL 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 15
Date: 3/19/1987
Foreign Currency Options ExaminationSeries 5
Date: 3/11/1987
Interest Rate Options ExaminationCurrent Firm
PENNALUNA & COMPANY
CRD#: 11604 / SEC#: , 8-15943
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORREST G. GODDE 1998 TRUST | SHAREHOLDER | |
| GILES, MICHAEL HARLAND | SHAREHOLDER/DIRECTOR | 6148642 |
| NICKLAS, RONALD BRUCE JR | PRESIDENT/CHIEF COMPLIANCE OFFICER/SHAREHOLDER/DIRECTOR | 1055099 |
| WOBKER, THOMAS F | SHAREHOLDER/SECRETARY | 2718456 |
| WORRELL, JOHN ROBERT | SHAREHOLDER/VP | 2426176 |
| NEUBAUER, KATHY VIOLET | FINANCIAL OPERATIONS PRINCIPAL | 2992488 |
| TRACZ, ROBERT JOHN | TRUSTEE OF FORREST G. GODDE TRUST 1998 | 5880816 |
Disclosures
| Regulatory Event | 14 |
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.
