Edmund L. Finder
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.
Edmund Lawrence Finder was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1967. Edmund had worked at 9 firms and has passed the Series 63, SIE, PC, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2006 - December 31, 2016
AXIOM CAPITAL MANAGEMENT, INC.
July 31, 1993 - September 5, 2006
CITIGROUP GLOBAL MARKETS INC.
August 31, 1982 - July 31, 1993
LEHMAN BROTHERS INC.
July 20, 1979 - September 8, 1982
CIBC WORLD MARKETS CORP.
February 22, 1978 - July 18, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
December 21, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
January 6, 1977 - January 16, 1978
E. F. HUTTON & COMPANY INC
January 3, 1973 - May 18, 1974
W. E. HUTTON & CO.
April 20, 1972 - January 1, 1973
FLAKS ZASLOW & CO INC
October 26, 1967 - February 27, 1972
E. F. HUTTON & COMPANY 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 10/25/1967
Registered Representative ExaminationSeries 00
Date: 8/31/1972
General Securities Principal ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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