John E. Edwards
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.
John Ellis Edwards was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 6 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - June 22, 2016
TULLETT PREBON FINANCIAL SERVICES LLC
April 25, 2011 - December 23, 2013
BGC FINANCIAL, L.P.
January 4, 2010 - April 19, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
October 19, 2009 - January 4, 2010
RAFFERTY CAPITAL MARKETS, LLC
January 14, 2008 - June 19, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
October 16, 2006 - January 15, 2008
TULLETT LIBERTY BROKERAGE INC.
May 19, 1995 - December 3, 1996
LIBERTY BROKERS
March 3, 1994 - October 16, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
October 24, 1989 - November 23, 1993
ICAP SECURITIES USA LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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