Edward P. Gelb
Professional summary
Edward Philip Gelb was barred by the FINRA 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 1990. Prior to being barred, Edward had worked at 10 firms, which includes JOHN THOMAS FINANCIAL, FINTEGRA LLC, AURORA CAPITAL LLC, QUESTAR CAPITAL CORPORATION, USALLIANZ SECURITIES INC., MUTUAL SERVICE CORPORATION, TITAN/VALUE EQUITIES GROUP INC., BANIS SECURITIES CORP., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2009 - August 27, 2009
JOHN THOMAS FINANCIAL
November 25, 2008 - May 20, 2009
FINTEGRA, LLC
September 15, 2008 - November 28, 2008
AURORA CAPITAL LLC
December 1, 2006 - September 3, 2008
QUESTAR CAPITAL CORPORATION
November 16, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
July 20, 2006 - December 19, 2006
MUTUAL SERVICE CORPORATION
July 5, 2006 - July 21, 2006
USALLIANZ SECURITIES, INC.
March 31, 1999 - July 10, 2006
MUTUAL SERVICE CORPORATION
July 30, 1991 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
November 16, 1990 - August 2, 1991
BANIS SECURITIES CORP.
April 24, 1990 - July 12, 1990
IDS LIFE INSURANCE COMPANY
April 24, 1990 - July 12, 1990
AMERIPRISE FINANCIAL SERVICES, 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
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
