Edmund D. Harelik
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.
Edmund David Harelik, who also goes by Ed Harelik, was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1983. Edmund had worked at 24 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2014 - October 9, 2015
PAULSON INVESTMENT COMPANY LLC
November 16, 2011 - June 24, 2014
ESPOSITO SECURITIES, LLC
October 27, 2009 - March 30, 2010
FINANCIAL WEST GROUP
August 5, 2009 - March 30, 2010
FINANCIAL WEST GROUP
December 5, 2007 - June 10, 2009
PORTSMOUTH FINANCIAL SERVICES
November 30, 2007 - June 10, 2009
PORTSMOUTH FINANCIAL SERVICES
May 3, 2007 - December 18, 2007
M.L. STERN & CO., LLC.
March 26, 2007 - December 18, 2007
M.L. STERN & CO., LLC.
June 19, 2006 - April 2, 2007
REDWOOD SECURITIES GROUP, INC.
December 7, 2005 - June 20, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 15, 2005 - August 31, 2005
AMERICA NORTHCOAST SECURITIES, INC.
December 2, 2004 - January 3, 2005
M. S. HOWELLS & CO.
August 5, 2002 - December 1, 2004
MOORS & CABOT, INC.
May 16, 2002 - July 30, 2002
HOTOVEC, POMERANZ & CO., LLC
October 15, 1999 - May 16, 2002
PACIFIC GROWTH EQUITIES, LLC
February 3, 1997 - October 6, 1999
HILLTOP SECURITIES INC.
July 11, 1996 - February 20, 1997
COMVEST PARTNERS, INC.
December 14, 1993 - July 9, 1996
WELLS FARGO CLEARING SERVICES, LLC
March 1, 1989 - May 5, 1989
WEBER, HALL, SALE & ASSOCIATES, INC.
November 11, 1988 - January 3, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
October 6, 1988 - November 8, 1988
CANTOR FITZGERALD & CO.
November 9, 1987 - February 12, 1988
ROBERT W. BAIRD & CO. INCORPORATED
October 2, 1987 - October 20, 1987
HSBC SECURITIES (USA) INC.
July 8, 1986 - September 3, 1987
ALEX. BROWN & SONS INCORPORATED
January 24, 1986 - July 22, 1986
J.P. MORGAN SECURITIES LLC
July 31, 1984 - January 6, 1986
ROBERT W. BAIRD & CO. INCORPORATED
February 28, 1984 - August 9, 1984
PRUDENTIAL EQUITY GROUP, LLC
October 20, 1983 - February 23, 1984
RAUSCHER PIERCE REFSNES, 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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
