Edward D. Kirkwood
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 Dean Kirkwood, who also goes by Ed D Kirkwood, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1985. Edward had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2006 - March 31, 2021
CROWN CAPITAL SECURITIES, L.P.
March 31, 2006 - March 31, 2021
CROWN CAPITAL SECURITIES, L.P.
May 3, 2005 - April 24, 2006
OSAIC FS, INC.
April 25, 2005 - April 24, 2006
OSAIC FS, INC.
August 8, 2003 - April 12, 2005
CROWN CAPITAL SECURITIES, L.P.
August 8, 2003 - April 12, 2005
CROWN CAPITAL SECURITIES, L.P.
April 29, 2002 - July 22, 2003
PRUCO SECURITIES, LLC.
March 21, 2000 - July 22, 2003
PRUCO SECURITIES, LLC.
July 23, 1997 - December 31, 1999
NEW ENGLAND SECURITIES
November 11, 1996 - June 27, 1997
MONY SECURITIES CORPORATION
February 8, 1985 - October 25, 1996
NYLIFE SECURITIES LLC
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
