Edwin C. Mays
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 Carleton Mays, who also goes by Edwin C Mays, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 2005. Edwin had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2009 - December 15, 2014
IC ADVISORY SERVICES, INC.
July 29, 2009 - December 15, 2014
THE INVESTMENT CENTER, INC.
May 7, 2008 - July 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2008 - July 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2007 - May 29, 2008
CITIGROUP GLOBAL MARKETS INC.
October 17, 2005 - May 29, 2008
CITIGROUP GLOBAL MARKETS 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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
