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EW

Edward J. Wendol

Some features on this profile are disabled
CRD#: 2392007
EW

Professional summary

Edward James Wendol was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Edward had worked at 10 firms, which includes WTS PROPRIETARY TRADING GROUP LLC, STERLING ENTERPRISES GROUP INC., AMERICAN CLASSIC SECURITIES INC., PEAK SECURITIES CORPORATION, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., QUICK & REILLY INC., J.P.R. CAPITAL CORP., LADENBURG CAPITAL MANAGEMENT INC., FIRST ASSET MANAGEMENT INC., SOUTH RICHMOND SECURITIES INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 12, 2013 - July 11, 2014

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

December 5, 2011 - August 28, 2012

STERLING ENTERPRISES GROUP, INC.

BD
CRD#: 44915
ST. PETERSBURG, FL
Past

November 10, 2008 - October 30, 2009

AMERICAN CLASSIC SECURITIES, INC.

BD
CRD#: 25399
PONTE VEDRA, FL
Past

June 9, 2005 - November 13, 2006

PEAK SECURITIES CORPORATION

BD
CRD#: 107907
LARGO, FL
Past

November 24, 2003 - December 31, 2003

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CEDAR RAPIDS, IA
Past

September 9, 2002 - April 8, 2003

QUICK & REILLY, INC.

RIA
CRD#: 11217
ISLANDIA, NY
Past

June 17, 2002 - April 8, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

April 10, 2001 - June 12, 2002

J.P.R. CAPITAL CORP.

BD
CRD#: 38056
SYOSSET, NY
Past

October 13, 1995 - April 18, 2001

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

October 1, 1993 - October 13, 1995

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

September 9, 1993 - October 4, 1993

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913

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

State Security Law Exam
IAR
Series 65
Date: 7/12/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/21/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/4/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/8/1993
General Securities Representative Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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