Edward J. Novak
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 Joseph Novak was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1984. Edward had worked at 8 firms and has passed the Series 63, Series 7, Series 3, Series 4, Series 27 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
July 9, 2009 - November 22, 2011
FIRST BROKERS SECURITIES LLC
July 7, 2008 - June 28, 2012
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 11, 2002 - June 13, 2007
PREBON SECURITIES (USA) INC.
November 11, 2002 - July 14, 2008
PREBON FINANCIAL PRODUCTS INC.
March 3, 1999 - January 3, 2002
INTER-DEALER BROKERS LLC
May 16, 1991 - January 3, 2002
GFI SECURITIES LLC
February 5, 1986 - September 19, 1986
BIERBAUM-MARTIN SECURITIES INC.
September 24, 1984 - October 12, 1984
LEHMAN BROTHERS 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
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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