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JE

John M. Ednie

Some features on this profile are disabled
CRD#: 1585557
JE

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.

John M Ednie was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 53 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

April 6, 2022 - February 20, 2024

R.W. SMITH & ASSOCIATES, LLC

BD
CRD#: 16605
Avenel, NJ
Past

November 5, 2018 - April 12, 2022

AVATAR CAPITAL GROUP LLC

BD
CRD#: 150136
JERSEY CITY, NJ
Past

November 23, 2011 - November 5, 2018

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117
JERSEY CITY, NJ
Past

June 1, 2010 - November 22, 2011

STARK FINANCIAL INDUSTRIES LLC

BD
CRD#: 25169
SECAUCUS, NJ
Past

June 1, 2009 - June 17, 2010

MORGAN STANLEY

RIA
CRD#: 149777
FLORHAM PARK, NJ
Past

June 1, 2009 - June 17, 2010

MORGAN STANLEY

BD
CRD#: 149777
FLORHAM PARK, NJ
Past

December 10, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FLORHAM PARK, NJ
Past

November 7, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FLORHAM PARK, NJ
Past

June 17, 2002 - October 4, 2007

MUNICIPAL PARTNERS, LLC

BD
CRD#: 119992
NEW YORK, NY
Past

March 25, 2002 - August 8, 2002

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

September 27, 1999 - March 5, 2002

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117
JERSEY CITY, NJ
Past

September 24, 1997 - January 6, 2000

TITUS & DONNELLY LLC

BD
CRD#: 7033
NEW YORK, NY
Past

May 29, 1990 - September 18, 1997

MUNICIPAL PARTNERS INC.

BD
CRD#: 24513
NEW YORK, NY
Past

April 24, 1989 - May 15, 1990

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118
NEW YORK, NY
Past

July 29, 1987 - April 24, 1989

CLIFFORD DRAKE & COMPANY INC.

BD
CRD#: 7092

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
IAR
Series 66
Date: 12/3/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/2007
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: 7/22/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 7/27/1987
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/21/1999
Municipal Securities Principal Examination

Current Firm

RS
R.W. SMITH & ASSOCIATES, LLC
R.W. SMITH & ASSOCIATES, INC. | R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605 / SEC#: , 8-34240

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

Main Address
111 Town Square Place Ste 1500, Jersey City, NJ 07310
Mailing Address
111 Town Square Place Ste 1500, Jersey City, NJ 07310
Phone number
(201) 716-5150
Established
New Jersey since 05/12/2014
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TOWN SQUARE HOLDING, LLCMANAGING MEMBER
FERRERI, CHRISTOPHER CHARLESPRESIDENT1677406
GEORGE, MICHAEL THEODOREFINOP1265239
PURPORA, RONALD ANTHONYDIRECTOR1665726
RASMUSSEN, DENIEN LYNNCOO, CCO1008607
SMITH, EDWARD JOHNOWNER4161601

Disclosures

Regulatory Event1

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

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

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