Edmund C. Coleman
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 C Coleman, who also goes by Edmund Campion Coleman, was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1984. Edmund had worked at 9 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2025 - January 6, 2026
MAXIM GROUP LLC
April 22, 2024 - August 8, 2024
IMPERIAL CAPITAL, LLC
February 29, 2008 - February 23, 2022
RBC CAPITAL MARKETS, LLC
June 18, 2003 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
February 12, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
April 30, 2001 - December 7, 2001
ABN AMRO SECURITIES LLC
May 17, 1999 - April 30, 2001
ABN AMRO INCORPORATED
June 17, 1996 - June 17, 1999
HSBC SECURITIES (USA) INC.
January 10, 1995 - April 19, 1996
CREDIT SUISSE SECURITIES (USA) LLC
January 25, 1984 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
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 7TO
Date: 4/22/2024
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/10/2008
Limited Representative-Equity Trader ExamSeries 8
Date: 9/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 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.
