Edwin Oviatt
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.
Edwin Oviatt II, who also goes by Ed Oviatt II, Ed Oviatt, Edwin N Oviatt Ii, was a registered financial advisor .
Edwin is a previously registered financial advisor and started their career in finance in 1973. Edwin had worked at 14 firms and has passed the Series 65, Series 1, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2007 - October 13, 2009
AMERICAN INVESTORS COMPANY
August 9, 2004 - October 13, 2009
AMERICAN INVESTORS COMPANY
January 16, 2003 - August 29, 2003
SECURITIES AMERICA ADVISORS, INC.
May 30, 2002 - December 31, 2002
SECURITIES AMERICA ADVISORS, INC.
June 25, 1992 - August 28, 2003
SECURITIES AMERICA, INC.
January 2, 1990 - June 30, 1992
AMERICAN INVESTORS COMPANY
October 11, 1989 - November 28, 1989
SJ CAPITAL, INC.
June 18, 1986 - July 3, 1989
GTS ALLIANCE CORP.
November 9, 1981 - April 23, 1986
NEW ALLIANCE SECURITIES, INC.
July 22, 1980 - October 2, 1981
G. S. MORROW & CO., INC.
May 8, 1979 - April 1, 1980
CHRISTOPHER WEIL & COMPANY, INC
May 8, 1978 - March 8, 1984
PLANNED INVESTMENTS INC.
December 27, 1977 - May 28, 1978
INVESTOGENIC SERVICES, INC.
November 4, 1976 - April 2, 1978
INDEPENDENT SECURITIES CORPORATION
July 27, 1976 - December 8, 1976
SOUTHMARK FINANCIAL SERVICES, INC.
January 17, 1974 - November 11, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
December 4, 1973 - October 3, 1974
AMERICAN PACIFIC SECURITIES CORPORATION
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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
Series 1
Date: 11/29/1973
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
