Edward J. Tompkins
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 John Tompkins was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1984. Edward had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
December 23, 2015 - December 14, 2016
FOOTHILL SECURITIES, INC.
December 23, 2015 - December 14, 2016
FOOTHILL SECURITIES, INC.
February 7, 2011 - February 13, 2015
OSAIC WEALTH, INC.
February 7, 2011 - February 20, 2015
FSC SECURITIES CORPORATION
August 27, 2009 - February 20, 2015
OSAIC SERVICES, INC.
December 6, 2005 - February 20, 2015
OSAIC SERVICES, INC.
April 15, 1996 - April 7, 1997
ACUMENT SECURITIES, INC.
October 10, 1994 - May 6, 1996
CORTLANDT CAPITAL CORPORATION
March 13, 1992 - October 20, 1992
AMERINATIONAL FINANCIAL SERVICES, INC.
January 1, 1989 - February 28, 1992
CENPAC SECURITIES CORP.
May 24, 1988 - January 4, 1989
HIBBARD BROWN & CO., INC.
February 4, 1987 - May 31, 1988
SHERWOOD CAPITAL, INC.
May 22, 1986 - February 11, 1987
FIRST JERSEY SECURITIES, INC.
February 9, 1984 - September 28, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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