Edward D. Lundeen
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 D Lundeen II, CIMA®, who also goes by Dan Lundeen, E. Daniel Lundeen II, Edward Daniel Lundeen Ii, Edward Daniel Lundeen, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - October 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2013 - October 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2010 - June 27, 2011
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - June 27, 2011
DELAWARE DISTRIBUTORS, L.P.
June 13, 2005 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 25, 2003 - June 7, 2005
NATIONWIDE FUND DISTRIBUTORS LLC
October 15, 1998 - January 22, 2003
CONSECO EQUITY SALES, INC.
July 14, 1997 - September 4, 1998
CYPRESS CAPITAL CORPORATION
July 7, 1994 - May 29, 1997
TCC SECURITIES CORPORATION
March 24, 1994 - June 14, 1994
PLM SECURITIES CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
