Edward T. Coughlin
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 Thomas Coughlin was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1985. Edward had worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 3, Series 24 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2013 - October 30, 2015
EXECUTION ACCESS, LLC
June 11, 2013 - April 8, 2014
NASDAQ CAPITAL MARKETS ADVISORY LLC
June 11, 2013 - July 6, 2026
NASDAQ EXECUTION SERVICES, LLC
February 5, 2013 - May 16, 2013
KESTRA INVESTMENT SERVICES, LLC
June 24, 2009 - February 4, 2011
SURGE TRADING INC.
January 22, 1992 - July 7, 2009
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
February 21, 1985 - September 16, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 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.
