Edward R. Vasta
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 Raymond Vasta was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 5 firms and has passed the Series 63, Series 56, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2014 - July 30, 2014
QUAD CAPITAL, LLC
May 11, 2006 - January 8, 2008
OPUS TRADING FUND LLC
May 17, 2002 - March 23, 2004
SCHONFELD SECURITIES, LLC
October 17, 2000 - May 9, 2002
CARLIN EQUITIES, LLC
March 28, 2000 - August 1, 2000
SCHONFELD SECURITIES, LLC
January 17, 2000 - January 31, 2000
JOSEPH CHARLES & ASSOC., 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 56
Date: 3/6/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 4/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
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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