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EG

Edna M. Galvis

AUSTIN ATLANTIC CAPITAL
Coral Gables, FL 33134
Some features on this profile are disabled
CRD#: 2350133
EG

Professional summary

Edna M Galvis is a registered financial professional currently at AUSTIN ATLANTIC CAPITAL INC. located in Coral Gables, Florida.

Edna is registered as a RR (Registered Representative) and started their career in finance in 2012. Edna has worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edna M Galvis's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 24, 2012 - Present

AUSTIN ATLANTIC CAPITAL INC.

Office #1: 1 Alhambra Plaza Suite 100, Coral Gables, FL 33134
BD
CRD#: 43981
Coral Gables, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/22/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

AA
AUSTIN ATLANTIC CAPITAL INC.
AUSTIN ATLANTIC CAPITAL INC. | SHAY FINANCIAL SERVICES, INC. | PROVENANCE FINANCIAL INC.

CRD#: 43981 / SEC#: , 8-50509

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1 Alhambra Plaza Suite 100, Coral Gables, FL 33134
Mailing Address
1 Alhambra Plaza Suite 100, Miami, FL 33134
Phone number
(305) 507-1536
Established
Florida since 08/13/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AUSTIN ATLANTIC INC.SHAREHOLDER
RODRIGUEZ, AARON NETZAHUALCOYOTLCFO5421965
ROWE, KEVIN ANTHONYCHIEF COMPLIANCE OFFICER4641264
SHAY JR, RODGER DAVIDPRESIDENT AND COO1008086

Disclosures

Regulatory Event2

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.

Company Information

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981Coral Gables, FL 33134

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