Edward F. Wargin
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.
Edward Francis Wargin, who also goes by Ed Wargin, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
April 30, 1991 - December 21, 2018
INVESTACORP, INC.
January 26, 1984 - May 3, 1991
CETERA WEALTH SERVICES, LLC
October 19, 1983 - January 26, 1984
FSC SECURITIES 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
Current Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
