Edward L. Waller
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 Lawrence Waller, who also goes by Edward Lawrence Waller III, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1989. Edward had worked at 8 firms and has passed the Series 63, Series 55 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
January 10, 2011 - December 13, 2012
MONTECITO ADVISORS, INC.
July 29, 2005 - March 24, 2009
STANFORD GROUP COMPANY
September 18, 2003 - November 9, 2004
CHARLES SCHWAB & CO., INC.
May 29, 2003 - November 9, 2004
UBS CAPITAL MARKETS L.P.
April 24, 1997 - November 7, 2002
J.P. MORGAN SECURITIES LLC
November 11, 1996 - March 4, 1997
THE WILLIAMS CAPITAL GROUP, L.P.
June 25, 1991 - November 8, 1996
JEFFERIES LLC
July 18, 1989 - September 12, 1989
LEHMAN BROTHERS INC.
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: 6/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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