Edmund R. Zack
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 Roger Zack was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1992. Edmund had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2019 - December 20, 2019
DAWSON JAMES SECURITIES, INC.
April 18, 2019 - September 20, 2019
D. BORAL CAPITAL
October 26, 2017 - April 15, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
June 1, 2012 - November 17, 2017
AEGIS CAPITAL CORP.
July 8, 2010 - June 4, 2012
NATIONAL SECURITIES CORPORATION
February 15, 2007 - February 24, 2010
J.H. DARBIE & CO., INC.
March 19, 1997 - February 22, 2001
CARLIN EQUITIES, LLC
October 23, 1992 - May 27, 1997
GKN SECURITIES CORP.
October 1, 1992 - October 27, 1992
FIRST MONTAUK SECURITIES CORP.
September 14, 1992 - September 25, 1992
GKN SECURITIES CORP.
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
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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