Edward K. Fazekas
Professional summary
Edward Kenneth Fazekas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Edward had worked at 12 firms, which includes NATIONAL PLANNING CORPORATION, PRUCO SECURITIES LLC., DENMARK INVESTMENT SERVICES INC., FIFTH THIRD SECURITIES INC., NYLIFE SECURITIES LLC, INDEPENDENCE CAPITAL CO. INC., BMA FINANCIAL SERVICES INC., CARILLON INVESTMENTS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2003 - March 1, 2004
NATIONAL PLANNING CORPORATION
March 1, 2002 - May 22, 2003
PRUCO SECURITIES, LLC.
June 14, 1999 - September 28, 2001
DENMARK INVESTMENT SERVICES, INC.
March 27, 1999 - June 11, 1999
FIFTH THIRD SECURITIES, INC.
September 20, 1997 - March 27, 1999
FIFTH THIRD SECURITIES, INC.
July 22, 1996 - August 5, 1997
NYLIFE SECURITIES LLC
January 1, 1995 - July 10, 1996
INDEPENDENCE CAPITAL CO., INC.
September 2, 1994 - November 28, 1994
BMA FINANCIAL SERVICES, INC.
August 27, 1993 - August 17, 1994
INDEPENDENCE CAPITAL CO., INC.
August 12, 1992 - August 20, 1993
CARILLON INVESTMENTS, INC.
May 26, 1988 - June 16, 1992
METROPOLITAN LIFE INSURANCE COMPANY
May 26, 1988 - June 16, 1992
MSI FINANCIAL SERVICES, INC.
November 4, 1986 - August 10, 1987
SIGNATOR INVESTORS, INC.
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
Current Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
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