Edward I. Gurin
Professional summary
Edward Irving Gurin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Edward had worked at 5 firms, which includes THE THERMOPYLAE GROUP INC., HAMERSHLAG DODELES & CO. LLC, FIRST SECURITY INVESTMENTS INC., ROBERT THOMAS SECURITIES INC, CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 1999 - June 26, 2000
THE THERMOPYLAE GROUP, INC.
March 5, 1999 - December 1, 1999
HAMERSHLAG, DODELES & CO., LLC
August 10, 1998 - March 5, 1999
FIRST SECURITY INVESTMENTS, INC.
February 25, 1998 - August 12, 1998
ROBERT THOMAS SECURITIES, INC
January 9, 1998 - March 17, 1998
CIBC WORLD MARKETS CORP.
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
THE THERMOPYLAE GROUP, INC.
CRD#: 3059 / SEC#: , 8-13249
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THERMOPYLAE CAPITAL, LLC | SHAREHOLDER | |
| GURIN, EDWARD IRVING | PRESIDENT, GENERAL SECURITIES PRINCIPAL | 2958493 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 6 |
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.
