Paul L. Edwards
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.
Paul L. Edwards, who also goes by Paul Edwards, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1998. Paul had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2002 - May 29, 2012
BARON CAPITAL, INC.
May 5, 1998 - February 22, 2001
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
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
BARON CAPITAL, INC.
CRD#: 10538 / SEC#: , 8-27533
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARON CAPITAL GROUP, INC. | SHAREHOLDER | |
| BARON, RONALD STEPHEN | DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 13187 |
| BALTOVSKI, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BARON, DAVID ROBERT | DIRECTOR | 3245808 |
| BARON, MICHAEL R. | DIRECTOR | 4393612 |
| BEASLEY, LOUIS BARRETT | CHIEF COMPLIANCE OFFICER | 3156061 |
| GREENBERG, CLIFFORD | DIRECTOR AND SENIOR VICE PRESIDENT | 2292041 |
| NAGLER, ANITA MARIE | DIRECTOR | 2503631 |
| PATALINO, PATRICK MICHAEL | SVP, CHIEF OPERATING OFFICER | 4481185 |
| PECK, ANDREW JOSHUA | DIRECTOR AND SENIOR VICE PRESIDENT | 5348729 |
| ROBBINS, SUSAN JAN | DIRECTOR AND VICE PRESIDENT | 840688 |
| TREGLIA, KRISTINE F | VP, CHIEF LEGAL OFFICER | 6384500 |
Disclosures
| Regulatory Event | 8 |
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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