Edward C. Gonzales
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 Charles Gonzales was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1972. Edward had worked at 14 firms and has passed the Series 63, Series 15, Series 12 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
February 1, 1996 - April 2, 1999
BARRON CHASE SECURITIES, INC.
January 2, 1990 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
October 23, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
October 23, 1989 - February 5, 1990
J. T. MORAN & CO., INC.
June 30, 1989 - October 25, 1989
STRATTON OAKMONT INC.
May 26, 1989 - June 26, 1989
STRATTON SECURITIES, INC.
March 25, 1987 - May 20, 1989
KUHNS BROTHERS & LAIDLAW, INC.
April 6, 1983 - January 14, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.
November 24, 1980 - April 5, 1983
LABRANCHE FINANCIAL SERVICES, LLC
November 24, 1980 - April 5, 1983
ROBB & ROBB, INCORPORATED
August 5, 1976 - June 27, 1977
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 19, 1975 - August 24, 1976
MULLER AND COMPANY, INC.
October 30, 1973 - November 3, 1975
EULAV SECURITIES, INC.
March 2, 1972 - November 2, 1973
KOHLMEYER & CO.
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 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 12
Date: 2/12/1972
NYSE Branch Manager ExaminationSeries 40
Date: 5/2/1969
Registered Principal ExaminationCurrent Firm
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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.
