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DE

David J. Edwards

Some features on this profile are disabled
CRD#: 1455043
DE

Professional summary

David Jerome Edwards SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, David had worked at 7 firms, which includes GLOBALINK SECURITIES INC., ANDREW GARRETT INC., KENNEDY CABOT & CO., DILLON SECURITIES INC., EQUITIES INTERNATIONAL SECURITIES INC., JP MICHAEL CO., MAIN STREET SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Jerome Edwards

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

April 2, 1998 - May 15, 1998

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

June 7, 1996 - September 26, 1997

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

February 22, 1989 - June 11, 1996

KENNEDY, CABOT & CO.

BD
CRD#: 2417
BEVERLY HILLS, CA
Past

April 15, 1988 - January 17, 1989

DILLON SECURITIES, INC.

BD
CRD#: 10660
Past

November 16, 1987 - April 19, 1988

EQUITIES INTERNATIONAL SECURITIES, INC.

BD
CRD#: 8663
Past

December 3, 1986 - October 30, 1987

JP MICHAEL CO.

BD
CRD#: 15119
Past

February 19, 1986 - December 1, 1986

MAIN STREET SECURITIES, INC.

BD
CRD#: 8522

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: 3/28/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/2/1990
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/1989
General Securities Principal Examination

Current Firm

GS
GLOBALINK SECURITIES, INC.
GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION

CRD#: 29721 / SEC#: , 8-44509

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107
Mailing Address
3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107
Phone number
(626) 964-5966
Established
California since 01/03/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HU, PHILIP CHENGKUOEXECUTIVE VICE PRESIDENT2576527
LIAO, JUNHUAPRESIDENT /CEO, CCO, AND AMLCO4278425
TUNG, YVONNE YI-WENSECRETARY5202974
FAN, STEVENSVP, COMPLIANCE DIRECTOR4039972
LIOU, SHIOU-ING DIANESHAREHOLDER4436524
LU, YUANYUANVP, DIRECTOR OF MARKETING7602201
SHEN, LANSHAREHOLDERS4809719
TANG, YINGVP, DIRECTOR OF ACCOUNTING6135897
THORNTON, STEVEN LEEFINOP4496384
WANG, ZHUOLIVP, DIRECTOR OF OPERATION6296782

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GLOBALINK SECURITIES, INC.

CRD#: 29721

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