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EC

Edward E. Curiel

Some features on this profile are disabled
CRD#: 1343647
EC

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 Emilio Curiel 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 63, SIE, Series 7, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 8, 2019 - January 5, 2020

DLX FINANCIAL GROUP, LLC

BD
CRD#: 158690
MEDFORD, OR
Past

February 14, 2012 - October 7, 2019

DLX FINANCIAL GROUP, LLC

BD
CRD#: 158690
MEDFORD, OR
Past

July 8, 1997 - January 27, 2004

METROPOLITAN WEST SECURITIES, LLC

RIA
CRD#: 30172
LOS ANGELES, CA
Past

June 26, 1992 - January 27, 2004

METROPOLITAN WEST SECURITIES, LLC

BD
CRD#: 30172
LOS ANGELES, CA
Past

May 3, 1991 - May 29, 1992

TSG SECURITIES

BD
CRD#: 28361
LOS ANGELES, CA
Past

September 4, 1990 - May 3, 1991

TSG SECURITIES CORPORATION

BD
CRD#: 26505
Past

July 25, 1987 - March 5, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

BD
CRD#: 19727
Past

August 20, 1985 - March 5, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/4/2014
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/20/2012
General Securities Principal Examination

Current Firm

DF
DLX FINANCIAL GROUP, LLC
DLX FINANCIAL GROUP, LLC

CRD#: 158690 / SEC#: , 8-68916

BD
Terminated by SEC on 12/31/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Oregon since 06/30/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CURIEL, EDWARD EMILIOCEO,CFO,FINOP, CCO AMLCO1343647

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.

Company Information

DLX FINANCIAL GROUP, LLC

CRD#: 158690

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