Edward A. Fausti
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 Anthony Fausti, who also goes by Gary Fausti, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1971. Edward had worked at 11 firms and has passed the Series 63, SIE, Series 5, PC, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 1999 - July 10, 2017
CARTER, TERRY & COMPANY, INC.
October 20, 1994 - August 15, 1999
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
July 21, 1988 - October 26, 1994
UBS FINANCIAL SERVICES INC.
May 23, 1979 - July 18, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1978 - July 13, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
June 1, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
November 8, 1974 - June 25, 1976
SHEARSON HAYDEN STONE INC.
October 26, 1973 - November 8, 1974
HAYTON STONE INC
May 9, 1973 - October 26, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
August 9, 1971 - July 29, 1972
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
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 5
Date: 2/19/1991
Interest Rate Options ExaminationPC
Date: 7/6/1988
AMEX Put and Call ExamSeries 1
Date: 8/4/1971
Registered Representative ExaminationCurrent Firm
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
