Eduardo Juarez
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.
Eduardo Juarez, who also goes by Ed Juarez, Edaurdo Juarez, Eddie Juarez, Edward Juarez, was a registered financial professional .
Eduardo is a previously registered financial professional and started their career in finance in 2003. Eduardo had worked at 9 firms and has passed the Series 63, Series 99TO, 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
September 12, 2019 - January 2, 2024
NETWORK 1 FINANCIAL SECURITIES INC.
February 23, 2016 - September 16, 2019
PHX FINANCIAL, INC.
November 28, 2011 - November 17, 2015
ALLIED MILLENNIAL PARTNERS, LLC
December 20, 2010 - August 5, 2011
EMPIRE ASSET MANAGEMENT COMPANY
March 25, 2010 - July 19, 2010
AEGIS CAPITAL CORP.
July 6, 2009 - March 30, 2010
GUNNALLEN FINANCIAL, INC
April 18, 2006 - June 30, 2009
NATIONAL SECURITIES CORPORATION
May 18, 2004 - May 15, 2006
S.W. BACH & COMPANY
March 7, 2003 - June 14, 2004
JOSEPH STEVENS & CO., 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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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