Edward J. Redgate
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 Redgate, who also goes by E Joseph Redgate, Joseph E Redgate, Joseph Redgate, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1985. Edward had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7 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
December 9, 2014 - February 19, 2016
SVB WEALTH
October 13, 2010 - November 26, 2014
BANYAN PARTNERS, LLC
June 1, 2009 - September 14, 2010
MORGAN STANLEY
June 1, 2009 - September 14, 2010
MORGAN STANLEY
September 23, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 5, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 25, 2006 - January 25, 2008
STRATEGIC ADVISERS LLC
November 18, 1991 - January 25, 2008
FIDELITY BROKERAGE SERVICES LLC
September 19, 1991 - October 22, 1991
EDWARD JONES
April 8, 1991 - September 13, 1991
AMERIPRISE ADVISOR SERVICES, INC.
December 19, 1990 - January 1, 1991
BARNETT INVESTMENTS, INC.
May 14, 1988 - November 1, 1990
LEHMAN BROTHERS INC.
November 23, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
June 5, 1985 - October 30, 1985
BEACON SECURITIES, INC.
April 23, 1985 - May 16, 1985
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
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 8
Date: 12/17/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
