Edward M. Genes
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 Matthew Genes was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1998. Edward had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 27, Series 53, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2015 - October 14, 2016
FIRST KENTUCKY SECURITIES CORPORATION
November 23, 2015 - October 14, 2016
FIRST KENTUCKY SECURITIES CORPORATION
October 10, 2013 - July 8, 2014
FIRST HORIZON ADVISORS, INC.
April 10, 2012 - October 10, 2013
FTB ADVISORS, INC.
November 5, 2007 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
November 2, 2007 - July 8, 2014
FIRST HORIZON ADVISORS, INC.
March 17, 2006 - October 23, 2007
SIGNATOR INVESTORS, INC.
March 17, 2006 - October 23, 2007
SIGNATOR INVESTORS, INC.
October 6, 2005 - February 1, 2006
TD AMERITRADE, INC.
October 6, 2005 - February 1, 2006
TD AMERITRADE, INC.
February 24, 2005 - May 31, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 2005 - May 31, 2005
IDS LIFE INSURANCE COMPANY
February 23, 2005 - May 31, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 2004 - February 10, 2005
TD AMERITRADE, INC.
November 13, 2003 - February 10, 2005
TD AMERITRADE, INC.
July 2, 2002 - November 24, 2003
CHARLES SCHWAB & CO., INC.
July 2, 2002 - November 24, 2003
CHARLES SCHWAB & CO., INC.
January 9, 2002 - June 20, 2002
MORGAN STANLEY DW INC.
September 24, 2001 - June 20, 2002
MORGAN STANLEY DW INC.
September 25, 1998 - September 7, 2001
TD AMERITRADE, INC.
April 27, 1998 - August 12, 1998
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
FIRST KENTUCKY SECURITIES CORPORATION
CRD#: 7524 / SEC#: 801-67742, 8-22224
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
FIRST KENTUCKY SECURITIES CORPORATION
CRD#: 7524 / SEC#: 801-67742, 8-22224
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (47 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRAMER, RAYMOND STRAND JR | BRANCH MANAGER/ MUNI PRINCIPAL/ BOARD MEMBER | 1053345 |
| OCONNOR, KEVIN PATRICK | SENIOR VICE PRESIDENT/BOARD MEMBER | 1250514 |
| CURRENT, TYLER DARRELL | VICE PRESIDENT/BOARD MEMBER | 5363467 |
| OCONNOR, RYAN PATRICK | CFO/ CEO/ BRANCH MANAGER/ BOARD MEMBER | 5337922 |
| HARRISON, CHRISTINA JONES | VICE PRESIDENT/ SHAREHOLDER | 1171516 |
| HOWELL, JUDY ELIZABETH | SHAREHOLDER | 1634346 |
| JENNINGS, MARY JANE | VICE PRESIDENT/ SECRETARY/ SHAREHOLDER | 1850902 |
| KRAMER, FREDERICK JENNINGS | REGISTERED REPRESENTATIVE | 2299599 |
| NICHOLSON, ANN MARIE | CCO | 2449342 |
Regulatory assets under management
| Total Number of Accounts | 1,757 |
| AUM (Assets Under Management) | $ 678,564,542 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
