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EM

Edward L. Mccafferty

Some features on this profile are disabled
CRD#: 2683447
EM

Professional summary

Edward Lee Mccafferty was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Edward had worked at 5 firms, which includes NATCITY INSURANCE SERVICES INC., IFMG SECURITIES INC., INDEPENDENT FINANCIAL SECURITIES INC., NATCITY INVESTMENTS INC., MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ed Mccafferty

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 1999 - August 31, 2001

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

June 29, 1998 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

November 7, 1996 - August 31, 2001

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

January 1, 1996 - September 3, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/11/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 1/18/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/1995
General Securities Representative Examination

Current Firm

NI
NATCITY INSURANCE SERVICES, INC.
FIRST OF AMERICA BROKERAGE SERVICE, INC. | NATCITY INSURANCE SERVICES, INC.

CRD#: 16989 / SEC#: , 8-34901

BD
Terminated by SEC on 02/17/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 09/16/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL CITY BANK, MICHIGANOWNER
BAILEY, SCOTT LEROYASSISTANT VICE PRESIDENT1475638
BEER, JOHN PCONTROLLER/FIN. PRIN.2690397
BONNELL, PETER JOSEPH IIISENIOR VICE PRESIDENT1213039
LARKMAN, WILLIAM PATRICKCOMPLIANCE DIRECTOR2745689
LYDEN, E EARLVICE PRESIDENT/TREASURER1391004
PLANT, THOMAS ASECRETARY
SMITH, STEPHEN LEEASSISTANT SECRETARY

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

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