Edward Fay
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 Fay, who also goes by Edward Joseph Fay, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1992. Edward had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2018 - January 23, 2020
GOLDMAN SACHS CUSTODY SOLUTIONS
September 26, 2008 - November 17, 2015
E*TRADE SECURITIES LLC
February 7, 2006 - November 17, 2015
E*TRADE CLEARING LLC
June 2, 1997 - December 31, 2005
HARRISDIRECT LLC
September 8, 1992 - June 2, 1997
PERSHING 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
Series 8
Date: 9/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
