Edward P. Mccauley
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 Paul Mccauley was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1993. Edward had worked at 5 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
July 13, 1998 - December 31, 2001
PRIME CHARTER LTD.
August 20, 1997 - May 13, 1998
TRADE.COM ONLINE SECURITIES, INC.
August 28, 1996 - August 26, 1997
R.D. WHITE & CO., INC.
March 18, 1994 - August 27, 1996
NICHOLS, SAFINA, LERNER & CO. INC.
April 2, 1993 - March 23, 1994
GRUNTAL & CO., L.L.C.
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
PRIME CHARTER LTD.
CRD#: 25668 / SEC#: , 8-41900
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAND CHARTER GROUP | SOLE SHAREHOLDER | |
| FYFE, DAVID WILLIAM | CROP, SROP | 1379498 |
| GIANNI, JAMES A | DIRECTOR OF COMPLIANCE | 3215697 |
| HAUSER, MARK ALLAN | GSP, ROP, MUNI PRINCIPAL | 1545167 |
| MOFSHIN, HOWARD JONATHAN | GSP | 2416504 |
| RONDA, MARK WILLIAM | DIRECTOR, SECRETARY, VICE CHAIR, PRESIDENT, MANAGING DIRECTOR, TREAURE | |
| SADICARIO, STEVEN LAWRENCE | BRANCH MANAGER, CROP | 1227073 |
| SANCHEZ, LUIS ALEXANDER | GSP | |
| SCHWARTZ, STEPHEN FRANK | C.O.O., C.R.O., DIRECTOR, PRESIDENT, CHARIMAN | 844549 |
| SHATZKAMER, LARRY | GSP | |
| SILVERMAN, MICHAEL HAL | GSP, ROP, MUNI PRINCIPAL | |
| STOLTZ, MARC HAROLD | FINOP | 1008943 |
| WHELAN, STEVEN PATRICK | GSP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 5 |
Red Flags
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