Edward R. Pardon
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 Robert Pardon, who also goes by Edward R Pardon, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1973. Edward had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - September 13, 2011
SECURITIES AMERICA, INC.
May 15, 2009 - October 10, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 2009 - October 10, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
July 31, 1993 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
January 9, 1991 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
May 26, 1978 - July 31, 1993
LEHMAN BROTHERS INC.
August 1, 1973 - November 30, 1983
CITIGROUP GLOBAL MARKETS INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 11/4/1983
Foreign Currency Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 7/25/1973
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
