Edward S. Viola
Professional summary
Edward Sereno Viola 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 1992. Prior to being barred, Edward had worked at 4 firms, which includes KAUFMAN BROS. L.P., WEATHERLY SECURITIES CORPORATION, WELLS FARGO CLEARING SERVICES LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 1999 - October 25, 2000
KAUFMAN BROS., L.P.
January 25, 1999 - February 1, 1999
KAUFMAN BROS., L.P.
May 12, 1997 - January 22, 1999
WEATHERLY SECURITIES CORPORATION
October 21, 1994 - May 14, 1997
WELLS FARGO CLEARING SERVICES, LLC
October 26, 1992 - November 4, 1994
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KAUFMAN BROS., L.P.
CRD#: 37909 / SEC#: , 8-48183
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLMK CAPITAL MANAGEMENT LLC | LIMITED PARTNER | |
| KAUFMAN, SUSAN GAIL | LIMITED PARTNER | 2620519 |
| KAUFMAN, CRAIG DOUGLAS | HEAD OF CAPITAL MARKETS AND LIMITED PARTNER | 2042355 |
| DURKIN, GERARD ANTHONY | CHIEF FINANCIAL OFFICER AND FINOP PRINCIPAL | 1292336 |
| GURROLA, KENNETH WILLIAM ESQ. | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER AND LIMITED PARTNER | 5657027 |
| KAUFMAN, ROBERT JAY | HEAD OF INVESTMENT BANKING | 2580169 |
| KB MANAGEMENT LLC | GENERAL PARTNER | |
| LORENZO, BENNY | CHAIRMAN, CEO AND DIRECTOR OF RESEARCH | 1888674 |
| ROSS, STUART BERT | LIMITED PARTNER | 2094044 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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