Edward R. Hogan, Sr.
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 Robert Hogan, Sr., who also goes by Edward R Hogan, Edward Robert Hogan Sr, Edward Robert Hogan, Sr Sr, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, Series 51 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2006 - October 28, 2021
NEXT FINANCIAL GROUP, INC.
January 1, 2004 - April 26, 2006
CETERA ADVISORS LLC
March 30, 2000 - January 1, 2004
IFG NETWORK SECURITIES, INC.
April 6, 1989 - March 31, 2000
CADARET, GRANT & CO., INC.
May 20, 1986 - April 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 30, 1983 - May 23, 1986
CPC SECURITIES CORPORATION
March 10, 1983 - July 11, 1983
CADARET, GRANT & CO., INC.
June 11, 1981 - February 23, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
June 11, 1980 - March 16, 1983
LEGEND CAPITAL CORPORATION
September 1, 1970 - January 5, 1979
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/17/1969
Registered Representative ExaminationSeries 00
Date: 8/27/1970
General Securities Principal ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
