Edward M. Vecchio
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 Michael Vecchio was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1992. Edward had worked at 9 firms and has passed the Series 63 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
June 27, 2012 - January 2, 2013
LEGEND SECURITIES, INC.
December 23, 2011 - June 20, 2012
BROOKSTONE SECURITIES, INC.
January 2, 2009 - December 31, 2009
ALLIED BEACON PARTNERS, INC.
November 9, 2000 - December 31, 2008
ADVANCED PLANNING SECURITIES, INC.
March 18, 1998 - November 10, 2000
SHARPE CAPITAL, INC.
March 9, 1993 - March 20, 1998
JOSEPHTHAL & CO., INC.
August 12, 1992 - January 26, 1993
DUKE & CO., INC.
July 27, 1992 - August 4, 1992
BERKELEY SECURITIES CORPORATION
May 18, 1992 - July 21, 1992
J. GREGORY & 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
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
