Edwin H. Easty
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.
Edwin H Easty, who also goes by Edwin Easty, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1995. Edwin had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - January 13, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
January 2, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
April 14, 1997 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
January 25, 1995 - August 31, 1995
GRIFFIN FINANCIAL SERVICES
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
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
