Edward J. Muller
Professional summary
Edward James Muller JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Edward had worked at 8 firms, which includes BAXTER BANKS & SMITH LTD., ROYAL PALM INVESTMENTS LTD., JOSEPHTHAL & CO. INC., G. K. SCOTT & CO. INC., PARAGON CAPITAL MARKETS INC., STRATTON OAKMONT INC., STRATTON SECURITIES INC., INVESTORS CENTER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 1998 - January 11, 1999
BAXTER BANKS & SMITH, LTD.
March 10, 1995 - January 30, 1997
ROYAL PALM INVESTMENTS, LTD.
September 17, 1991 - February 7, 1995
JOSEPHTHAL & CO., INC.
September 25, 1989 - September 25, 1991
G. K. SCOTT & CO., INC.
September 8, 1989 - September 9, 1989
PARAGON CAPITAL MARKETS, INC.
June 26, 1989 - August 3, 1989
STRATTON OAKMONT INC.
April 5, 1989 - June 26, 1989
STRATTON SECURITIES, INC.
July 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
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