Edward L. Albert
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 Lawrence Albert was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 10 firms and has passed the Series 000 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
March 10, 1998 - July 15, 1999
PREFERREDTRADE, INC.
December 6, 1989 - May 1, 1998
HAMBRECHT & QUIST LLC
June 10, 1987 - September 19, 1989
SBC WARBURG DILLON READ INC.
March 1, 1985 - July 24, 1985
HAMBRECHT & QUIST LLC
October 12, 1983 - October 10, 1984
WOODMAN, KIRKPATRICK & GILBREATH
June 10, 1980 - April 4, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 1977 - March 22, 1980
SUTRO & CO. INCORPORATED
April 4, 1975 - October 2, 1976
SUTRO CO INCORPORATED
July 8, 1974 - September 23, 1974
THOMSON MCKINNON SECURITIES INC.
October 6, 1971 - August 19, 1975
W. E. HUTTON & CO.
December 23, 1970 - April 10, 1971
GOODBODY & 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 000
Date: 9/28/1970
General Securities Principal ExaminationSeries 1
Date: 6/18/1970
Registered Representative ExaminationCurrent Firm
PREFERREDTRADE, INC.
CRD#: 10993 / SEC#: , 8-27945
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOUGLAS J. ENGMANN & BARBARA J. ENGMANN 1999 REVOCABLE TRUST | SHAREHOLDER | |
| ENGMANN, MICHAEL WAYNE | CO-CEO | 201435 |
| STIPANICH, NEIL CHARLES | SHAREHOLDER/OWNER | 1913739 |
| BOLD, CHARLES MARK | PRESIDENT/CHIEF OPERATING OFFICER/GENERAL PRINCIPAL | 1023910 |
| ENGMANN, BARBARA JO | TRUSTEE | 4833871 |
| ENGMANN, DOUGLAS JOE | CHAIRMAN/CO-CEO/TRUSTEE | 1132831 |
| HAGNER, CHARLES PHILIP III | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | 2060754 |
| HANDIN, PHILLIP EUGENE | ASSISTANT SECRETARY | 3065397 |
| MCNULTY, STEPHEN HART | VP/RETAIL SERVICES-GOVERNMENT PRINCIPAL/MSRB PRINCIPAL | 1959617 |
| PATTERSON, DOUGLAS BRIAN | SENIOR VICE PRESIDENT/SROP | 2566967 |
| TAGLE, MICHAEL D | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER | 3195159 |
| THURM, KARIN CHRISTINE | VICE PRESIDENT/OPERATIONS | 2849259 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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