Edward K. Tom
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 K Tom, who also goes by Edward Tom, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1995. Edward had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2020 - March 19, 2021
MACRO RISK ADVISORS LLC
August 23, 2016 - January 12, 2018
JANUS HENDERSON DISTRIBUTORS US LLC
April 19, 2001 - August 25, 2016
CREDIT SUISSE SECURITIES (USA) LLC
September 30, 1997 - August 3, 2000
PERSHING LLC
June 21, 1996 - September 18, 1997
PERSHING LLC
February 27, 1995 - July 3, 1996
SALOMON BROTHERS 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
Exams
Current Firm
MACRO RISK ADVISORS LLC
CRD#: 148143 / SEC#: , 8-67973
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACRO HOLDINGS LLC | SHAREHOLDER - MEMBER | |
| CURNUTT, DEAN CARL | PRESIDENT | |
| LUTTENBERGER, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | |
| TAO, BING QIN | FINOP | 6253793 |
Disclosures
| Regulatory Event | 1 |
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.
