Edward L. Kennedy
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 Lyman Kennedy was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 7 firms and has passed the Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1999 - November 19, 2001
PCI*TRADE SECURITIES
February 13, 1996 - November 5, 1999
NEXT ADVISORS SECURITIES
March 23, 1993 - February 23, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 12, 1992 - February 9, 1993
MARKETING ONE SECURITIES, INC.
May 19, 1988 - March 5, 1992
CAPITAL BROKERAGE CORPORATION
December 9, 1987 - March 29, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 9, 1987 - April 6, 1988
EQUITABLE ADVISORS, LLC
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
PCI*TRADE SECURITIES
CRD#: 40650 / SEC#: , 8-49111
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIU, SHIXIONG | PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 2217632 |
| BRIAN LAI | DIRECT OWNER | |
| KENNEDY, EDWARD LYMAN | DIRECT OWNER | |
| WEI, QING | REGISTERED REP |
Disclosures
| Regulatory Event | 1 |
Red Flags
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