Edgar T. Honey
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.
Edgar Thomas Honey III, who also goes by E Thomas Honey, Thomas Honey, Tom Honey, was a registered financial professional .
Edgar is a previously registered financial professional and started their career in finance in 1987. Edgar had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2016 - October 16, 2017
INVEST FINANCIAL CORPORATION
February 16, 2016 - October 16, 2017
INVEST FINANCIAL CORPORATION
January 2, 2014 - February 10, 2016
SORRENTO PACIFIC FINANCIAL, LLC
January 2, 2014 - February 10, 2016
SORRENTO PACIFIC FINANCIAL, LLC
March 4, 2008 - December 31, 2013
LPL FINANCIAL LLC
March 4, 2008 - December 31, 2013
LPL FINANCIAL LLC
July 9, 2002 - March 4, 2008
IFMG SECURITIES, INC.
August 12, 1997 - March 4, 2008
IFMG SECURITIES, INC.
January 1, 1996 - July 9, 1997
FIRST UNION BROKERAGE SERVICES, INC.
May 20, 1994 - January 1, 1996
MARKETING ONE SECURITIES, INC.
September 3, 1993 - May 25, 1994
UJB DISCOUNT BROKERAGE CO.
January 1, 1991 - November 27, 1991
MARKETING ONE SECURITIES, INC.
March 25, 1987 - January 16, 1989
BUTCHER & SINGER 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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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