Edward P. Nesbitt
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 Paul Nesbitt was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1998. Edward had worked at 6 firms and has passed the Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - April 1, 2014
E*TRADE FUTURES LLC
September 24, 2010 - February 24, 2012
OPTIONSXPRESS, INC.
June 15, 2005 - August 17, 2012
BROKERSXPRESS LLC
April 4, 2000 - June 9, 2005
MF GLOBAL INC.
September 20, 1999 - April 27, 2000
WELLS FARGO CLEARING SERVICES, LLC
August 20, 1998 - November 3, 1998
THE SEIDLER COMPANIES INCORPORATED
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
E*TRADE FUTURES LLC
CRD#: 145562 / SEC#: , 8-67735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | PARENT CO./SOLE SHAREHOLDER | |
| HERMANN, JAMES CLIFFORD | CHIEF COMPLIANCE OFFICER | 1697681 |
Disclosures
| Regulatory Event | 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.
