ER
Edward Rick Iv
CARILLON FUND DISTRIBUTORS
St. Petersburg, FL 33716
Some features on this profile are disabled
CRD#: 2536413
ER
Professional summary
Edward Rick Iv, who also goes by Edward Rick IV, is a registered financial professional currently at CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1999. Edward has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Edward Rick Iv
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.
CRS (Client Relationship Summary) - BD
Click below to view Edward Rick Iv's 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®
NoneExperience
Current
June 23, 2014 - Present
CARILLON FUND DISTRIBUTORS, INC.
Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716BD
CRD#: 139749
St. Petersburg, FL
Past
October 11, 2010 - October 17, 2012
VIRGINIA ESTATE AND RETIREMENT PLANNING ADVISORS, INC.
RIA
CRD#: 151510
GLEN ALLEN, VA
Past
January 4, 2010 - January 25, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
February 2, 2001 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
October 1, 1999 - December 31, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 31, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/15/2014)
RR
Alaska(7/15/2014)
RR
Arizona(8/1/2014)
RR
Arkansas(7/15/2014)
RR
California(7/14/2014)
RR
Colorado(7/15/2014)
RR
Connecticut(7/14/2014)
RR
Delaware(7/16/2014)
RR
District of Columbia(7/15/2014)
RR
Florida(6/24/2014)
RR
Georgia(7/15/2014)
RR
Hawaii(7/14/2014)
RR
Idaho(7/24/2014)
RR
Illinois(7/15/2014)
RR
Indiana(7/24/2014)
RR
Iowa(7/14/2014)
RR
Kansas(7/17/2014)
RR
Kentucky(7/15/2014)
RR
Louisiana(7/25/2014)
RR
Maine(7/15/2014)
RR
Maryland(7/16/2014)
RR
Massachusetts(7/16/2014)
RR
Michigan(7/15/2014)
RR
Minnesota(7/14/2014)
RR
Mississippi(7/22/2014)
RR
Missouri(7/24/2014)
RR
Montana(7/15/2014)
RR
Nebraska(10/8/2014)
RR
Nevada(7/21/2014)
RR
New Hampshire(7/15/2014)
RR
New Jersey(10/9/2014)
RR
New Mexico(7/14/2014)
RR
New York(7/22/2014)
RR
North Carolina(7/14/2014)
RR
North Dakota(7/15/2014)
RR
Ohio(7/14/2014)
RR
Oklahoma(7/15/2014)
RR
Oregon(7/15/2014)
RR
Pennsylvania(7/25/2014)
RR
Puerto Rico(7/14/2014)
RR
Rhode Island(7/14/2014)
RR
South Carolina(7/21/2014)
RR
South Dakota(7/14/2014)
RR
Tennessee(7/15/2014)
RR
Texas(7/21/2014)
RR
Utah(7/14/2014)
RR
Virgin Islands(7/21/2014)
RR
Virginia(7/15/2014)
RR
Washington(7/15/2014)
RR
West Virginia(7/22/2014)
RR
Wisconsin(7/24/2014)
RR
Wyoming(7/24/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CARILLON FUND DISTRIBUTORS, INC.
CARILLON FUND DISTRIBUTORS, INC. | HERITAGE FUND DISTRIBUTORS INC. | EAGLE FUND DISTRIBUTORS, INC.
CRD#: 139749 / SEC#: , 8-67244
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-8143
Established
Florida since 05/12/2005
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EAGLE ASSET MANAGEMENT INC | PARENT COMPANY | 110653 |
| EDWARDS, CHARLES MICHAEL | DIRECTOR | 5342028 |
| GEORGIEV, TSVETELINA ELKOVA | CCO | 5130225 |
| GERVAIS, BRYAN L | CFO, PRINCIPAL FINANCIAL OFFICER / FINOP, DIRECTOR | 5286391 |
| LILLIAN, JORDAN ALEXANDER | CEO, PRESIDENT, DIRECTOR | 5444726 |
| SOUSA, DAMIAN DANIEL | DIRECTOR | 2061882 |
| WALZER, SUSAN LAVELLE | DIRECTOR | 2976646 |
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.
