Edward Grey
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 Grey, who also goes by Edward Robert Grey, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1969. Edward had worked at 32 firms and has passed the Series 63, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2000 - November 4, 2002
DIRKS & COMPANY, INC.
March 22, 2000 - June 9, 2000
THE THORNWATER COMPANY, L.P.
March 16, 1999 - July 26, 1999
WIN CAPITAL CORP.
June 12, 1998 - January 1, 1999
SOLID ISG CAPITAL MARKETS, LLC
January 14, 1997 - April 20, 1998
ALDEN CAPITAL MARKETS, INC.
September 24, 1996 - November 7, 1996
FIRST ASSET MANAGEMENT, INC.
May 26, 1995 - May 21, 1996
INVESTORS ASSOCIATES, INC.
October 31, 1994 - June 19, 1995
M.S. FARRELL & COMPANY, INC.
February 14, 1994 - September 29, 1994
STUART, COLEMAN & CO., INC.
January 21, 1993 - February 15, 1994
THE STAMFORD COMPANY, INC.
June 11, 1991 - December 31, 1992
LADENBURG THALMANN & CO. INC.
May 14, 1990 - June 14, 1991
JOSEPHTHAL & CO., INC.
January 23, 1990 - May 11, 1990
GLOBAL CAPITAL SECURITIES, INC.
May 30, 1989 - September 1, 1989
ROBYNS CAPITAL CORP.
August 15, 1988 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
December 4, 1987 - July 11, 1988
BERKELEY SECURITIES CORPORATION
March 19, 1987 - October 19, 1987
BERKELEY SECURITIES CORPORATION
June 27, 1986 - February 13, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
April 29, 1986 - May 23, 1986
HUBERMAN SECURITIES CORP.
July 8, 1985 - April 8, 1986
CROWN FINANCIAL GROUP, INC.
May 29, 1985 - June 6, 1985
JII SECURITIES INC.
December 14, 1983 - September 25, 1985
PRUDENTIAL EQUITY GROUP, LLC
September 30, 1981 - December 20, 1983
LEHMAN BROTHERS INC.
May 21, 1981 - July 21, 1981
P-S SECURITIES, INC.
January 19, 1979 - June 1, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
December 12, 1978 - December 18, 1978
MOSELEY SECURITIES CORPORATION
August 5, 1975 - December 31, 1978
NEUBERGER SECURITIES CORP.
December 4, 1974 - February 2, 1976
GREEN HILL FINANCIAL SERVICE CORPORATION
May 16, 1974 - September 5, 1974
CITIGROUP GLOBAL MARKETS INC.
July 6, 1973 - April 27, 1974
REYNOLDS SECURITIES, INC.
March 20, 1973 - July 26, 1973
NEW YORK SECURITIES CO INC
November 8, 1972 - April 23, 1973
CIBC WORLD MARKETS CORP.
November 18, 1969 - December 24, 1972
BACHE & CO INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 3/10/1969
Registered Representative ExaminationCurrent Firm
DIRKS & COMPANY, INC.
CRD#: 42185 / SEC#: , 8-49735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
