Edward H. Dawson
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.
Edward Herbert Dawson III was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 5 firms and has passed the Series 63 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
December 18, 1996 - May 19, 1998
FIRST COLONIAL SECURITIES
June 21, 1995 - November 27, 1996
ADVEST, INC.
August 17, 1994 - June 28, 1995
STRATTON OAKMONT INC.
July 10, 1989 - November 20, 1990
SHAMROCK PARTNERS, LTD
February 1, 1988 - July 22, 1989
ADVEST, INC.
June 26, 1987 - February 10, 1988
TUCKER ANTHONY INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST COLONIAL SECURITIES
CRD#: 25121 / SEC#: , 8-41587
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL DIRECT FINANCIAL GROUP, INC. | HOLDING CORPORATION | |
| AXELROD, IRWIN | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 9180 |
| CAMPANELLA, RICHARD ANTHONY | COO AND BOCA RATON BRANCH MANAGER | |
| GALTERIO, RICHARD LOUIS | BRANCH MANAGER-NEW YORK | 1466226 |
| MARTIN, JEFFREY STEVEN | MUNICIPAL PRINCIPAL | 321321 |
| MIRMAN, ALVIN SAUL | DIRECTOR OF RESEARCH | |
| MIRMAN, ALVIN SAUL | FINANCIAL AND OPERATIONS PRINCIPAL | |
| MOSS, MICHAEL EARL | DIRECTOR | 601445 |
| SIEGEL, MARC NEIL | PRESIDENT & CEO | 1449845 |
Disclosures
| Regulatory Event | 8 |
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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