Edward S. Spofford
Professional summary
Edward Stowe Spofford is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1994. Edward has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Edward Stowe Spofford's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2011 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355June 24, 2010 - February 11, 2011
KILDARE CAPITAL, INC.
June 4, 2010 - January 11, 2011
OSBORN STEELE WEALTH MANAGEMENT, LLC
January 7, 2009 - April 30, 2010
BALLAMOR CAPITAL MANAGEMENT, LLC
December 12, 2007 - September 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 3, 2007 - September 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 30, 2001 - December 15, 2006
WILMINGTON BROKERAGE SERVICES COMPANY
September 15, 1998 - July 25, 2000
COMMONWEALTH CAPITAL SECURITIES CORP.
January 3, 1998 - September 11, 1998
RYAN & COMPANY, LP
September 26, 1994 - January 1, 1996
CRESAP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2011)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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