Edward C. Ebert
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 Ebert, who also goes by Edward C Ebert, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1993. Edward had worked at 2 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
February 8, 1994 - March 14, 1995
DREYFUS INVESTMENT SERVICES COMPANY, LLC
January 22, 1993 - December 23, 1993
MORGAN STANLEY DW 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
DREYFUS INVESTMENT SERVICES COMPANY, LLC
CRD#: 17477 / SEC#: , 8-35194
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MELLON BANK CORPORATION | SHAREHOLDER | |
| BEIDEMAN, PAUL STEWART | DIRECTOR | 2825449 |
| DEVIVIO, ANTHONY CHARLES | EXECUTIVE VICE PRESIDENT SALES | 715375 |
| DONAHUE, MARGARET LOUISE | EXECUTIVE VICE PRESIDENT MARKETING | 69852 |
| GEANOPULOS, GEORGE HARRY | VICE PRESIDENT | 1729766 |
| GHIRARDI, WILLIAM R | EXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 858746 |
| MOSSMAN, DAVID KENT | DIRECTOR AND CHIEF EXECUTIVE OFFICER | 2503983 |
| NALESNICK, JEAN ANN | VICE PRESIDENT | 1809578 |
| OFFICER, JOHN DAVID | DIRECTOR | 2789523 |
| OVERHOLT, HAROLD S JR | PRESIDENT AND CHIEF OPERATING OFFICER/DIRECTOR | 1450695 |
| UNGEMACH, WILLIAM VICTOR | SENIOR VICE PRESIDENT AND TREASURER | 1093967 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
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.
