Weldon J. Ecford
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.
Weldon James Ecford, who also goes by Weldon J Ecford, Weldon James Edford, was a registered financial professional .
Weldon is a previously registered financial professional and started their career in finance in 1984. Weldon had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14 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 14, 1994 - September 22, 2025
MARINER INVESTMENT GROUP
January 21, 1993 - April 19, 1994
RHODES SECURITIES, INC.
March 7, 1991 - December 11, 1992
A. G. EDWARDS & SONS, INC.
February 22, 1990 - April 1, 1991
CIBC WORLD MARKETS CORP.
March 26, 1985 - March 5, 1990
LEHMAN BROTHERS INC.
July 31, 1984 - January 24, 1985
BLINDER, ROBINSON & CO., 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MARINER INVESTMENT GROUP
CRD#: 35993 / SEC#: , 8-47067
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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