Edward A. Klug
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 Arthur Klug was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1985. Edward had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
October 27, 2017 - May 2, 2018
NFSG CORPORATION
May 19, 2016 - May 2, 2018
NEWBRIDGE SECURITIES CORPORATION
October 1, 2014 - May 4, 2016
INVESTACORP ADVISORY SERVICES INC
September 30, 2014 - May 4, 2016
INVESTACORP, INC.
July 14, 2010 - October 1, 2014
SII INVESTMENTS, INC.
July 14, 2010 - October 1, 2014
SII INVESTMENTS, INC.
December 30, 1999 - July 16, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 30, 1998 - July 16, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 2, 1991 - December 21, 1998
ROBERT W. BAIRD & CO. INCORPORATED
March 19, 1990 - December 21, 1991
EDWARD JONES
October 25, 1989 - March 20, 1990
A. G. EDWARDS & SONS, INC.
September 25, 1985 - November 15, 1989
EDWARD JONES
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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: 3/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
