Edwin J. Carey
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.
Edwin J Carey III, who also goes by Edwin J Carey, Edwin Joseph Carey III, Trip Carey III, Trip Carey, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1987. Edwin had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2015 - June 12, 2015
MAXIM GROUP LLC
June 23, 2009 - January 12, 2015
B. RILEY WEALTH MANAGEMENT
June 27, 2005 - November 11, 2008
NATIONAL FINANCIAL SERVICES LLC
May 9, 2005 - June 22, 2005
RAYMOND JAMES & ASSOCIATES, INC.
September 9, 2004 - May 23, 2005
FIDELITY BROKERAGE SERVICES LLC
April 4, 2001 - May 23, 2005
NATIONAL FINANCIAL SERVICES LLC
March 6, 1998 - March 2, 2001
ABN AMRO SECURITIES LLC
November 25, 1992 - December 31, 1997
RAUSCHER PIERCE REFSNES, INC.
August 23, 1991 - November 25, 1992
LABRANCHE FINANCIAL SERVICES, LLC
January 3, 1989 - July 1, 1991
ADLER COLEMAN & CO., INC.
May 25, 1988 - December 5, 1988
BOYE HOLDINGS INC.
September 10, 1987 - March 19, 1988
NATIONAL FINANCIAL SERVICES LLC
May 21, 1987 - August 15, 1987
KIDDER, PEABODY & CO. INCORPORATED
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 55
Date: 10/23/2001
Limited Representative-Equity Trader ExamCurrent Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| 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.
