Edward W. Dovan
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 Wayne Dovan, who also goes by Edward W Dovan, Edward Wayne Dovan Jr, Wayne Dovan Jr, Wayne Dovan, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1996. Edward had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2021 - November 1, 2021
MARINER GROUP CAPITAL MARKETS, LLC
September 16, 2015 - March 12, 2018
BREVAN HOWARD US LLC
May 30, 2014 - September 14, 2015
CIBC WORLD MARKETS CORP.
May 2, 2013 - May 1, 2014
ARCOLA SECURITIES, INC.
May 15, 2009 - May 15, 2012
JEFFERIES LLC
January 14, 2005 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1999 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 1996 - June 3, 1997
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
