Edward L. Scalone
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 Leo Scalone was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1965. Edward had worked at 7 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2006 - February 5, 2013
NATIONAL PLANNING CORPORATION
March 31, 2006 - February 5, 2013
NATIONAL PLANNING CORPORATION
March 12, 2003 - April 3, 2006
OSAIC FS, INC.
July 8, 2000 - April 3, 2006
OSAIC FS, INC.
March 31, 1995 - March 21, 2003
POLARIS ADVISORY SERVICES INC
June 2, 1989 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
May 20, 1988 - June 9, 1989
J. T. MORAN & CO., INC.
March 29, 1982 - May 20, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
July 3, 1965 - March 31, 1982
FORESTERS FINANCIAL SERVICES, 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 1
Date: 7/28/1961
Registered Representative ExaminationSeries 00
Date: 6/17/1969
General Securities Principal ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
