Earl W. Fisher
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.
Earl Webster Fisher JR, who also goes by Earl Webster Fisher, was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1969. Earl had worked at 4 firms and has passed the SIE, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2007 - December 9, 2015
SFE INVESTMENT COUNSEL INC.
July 8, 1997 - November 5, 2008
STERN FISHER EDWARDS INC
February 15, 1978 - April 27, 2016
STERN FISHER EDWARDS INC
April 12, 1977 - April 7, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
April 11, 1969 - August 16, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
Primary Firm SEC Registration
SFE INVESTMENT COUNSEL INC.
CRD#: 145530 / SEC#: 801-68580
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 1
Date: 4/1/1969
Registered Representative ExaminationF04
Date: 2/27/1978
Financial Principal ExaminationSeries 40
Date: 11/21/1977
Registered Principal ExaminationCurrent Firm
SFE INVESTMENT COUNSEL INC.
CRD#: 145530 / SEC#: 801-68580
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 772 |
| AUM (Assets Under Management) | $ 581,606,303 |
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.
