Edward Robles
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 Robles was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1997. Edward had worked at 7 firms and has passed the 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
January 24, 2017 - June 29, 2018
TD AMERITRADE, INC.
February 18, 2014 - January 24, 2017
TD AMERITRADE CLEARING, INC.
October 5, 2001 - November 28, 2001
ADVANTAGE CAPITAL CORPORATION
July 19, 2000 - December 21, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 15, 1997 - October 2, 1998
TD AMERITRADE, INC.
October 7, 1997 - October 28, 1997
EASTBROOK CAPITAL GROUP LLC
July 24, 1997 - October 17, 1997
WHITEHALL WELLINGTON INVESTMENTS, INC.
June 25, 1997 - July 2, 1997
MAIDSTONE FINANCIAL, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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