Edward L. Duff
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 Lester Duff, who also goes by Edward L Duff, Edward Lester Kail, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1993. Edward had worked at 13 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
January 16, 2004 - June 2, 2004
GUNNALLEN FINANCIAL, INC
October 17, 2001 - September 18, 2002
FIRST MONTAUK SECURITIES CORP.
January 31, 2001 - October 18, 2001
JOSEPH STEVENS & CO., INC.
January 2, 1997 - January 18, 2001
CONTINENTAL BROKER-DEALER CORP.
March 12, 1996 - April 10, 1996
STRATEGIC RESOURCE MANAGEMENT, INC.
October 6, 1995 - January 12, 1996
ARGENT SECURITIES, INC.
June 26, 1995 - September 28, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
January 18, 1995 - June 28, 1995
DONALD & CO. SECURITIES INC.
August 19, 1994 - December 20, 1994
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
February 11, 1993 - April 6, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 11, 1993 - April 6, 1993
SIGNATOR INVESTORS, INC.
February 11, 1993 - September 15, 1994
HIBBARD BROWN & CO., 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
