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EC

Edward S. Crooks

NEWEDGE SECURITIES
York, PA 17402
Some features on this profile are disabled
CRD#: 1710936
EC

Professional summary

Edward Stanley Crooks, who also goes by Edward S Crooks, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in York, Pennsylvania.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1987. Edward has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Edward S Crooks

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) - BD

Click below to view Edward Stanley Crooks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 10, 1994 - Present

NEWEDGE SECURITIES, LLC

Office #1: 307 Leader Heights Road, York, PA 17402
BD
CRD#: 10674
York, PA
Past

March 18, 1991 - September 30, 2016

ECA INVESTMENT GROUP INC

RIA
CRD#: 105893
HANOVER, PA
Past

January 18, 1989 - October 11, 1994

FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.

BD
CRD#: 16201
Past

November 23, 1987 - December 31, 1988

FIRST CHESAPEAKE SECURITIES CORPORATION

BD
CRD#: 10517
Past

October 23, 1987 - February 3, 1988

LCP CAPITAL CORP.

BD
CRD#: 14469

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(10/19/1994)
RR
Pennsylvania
(10/12/1994)
RR
Virginia
(10/11/1994)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWEDGE SECURITIES, LLC
MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES

CRD#: 10674 / SEC#: , 8-27663

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

Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Mailing Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Phone number
(412) 391-7077
Established
Pennsylvania since 12/14/1981
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWEDGE CAPITAL GROUP, LLCSHAREHOLDER
BANCO, JOSEPH FRANKLIN JRPRINCIPAL FINANCIAL OFFICER AND CFO2850198
CHAFFEE, HAROLD GERARDCHIEF COMPLIANCE OFFICER2905661
FONG, SARAH FVICE PRESIDENT2937709
JENKINS, WILLIAM HENRYMANAGING DIRECTOR - SUPERVISION3004337
SCHNIER, DAVID JASONGENERAL COUNSEL AND SECRETARY5110928
SESLER, JEAN ANNPRINCIPAL OPERATIONS OFFICER1809578
SMITH, KYLE PETERPRESIDENT2142563

Disclosures

Regulatory Event9
Civil Event2
Arbitration3

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

NEWEDGE SECURITIES, LLC

CRD#: 10674York, PA 17402

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