Edward P. Greene
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 Powell Greene was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 6 firms and has passed the Series 63, SIE 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
October 23, 2014 - September 17, 2015
CAPE SECURITIES INC.
January 2, 2002 - January 15, 2002
OPPENHEIMER & CO. INC.
December 17, 2001 - July 14, 2003
JANNEY MONTGOMERY SCOTT LLC
July 24, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
January 16, 2001 - July 18, 2001
GRUNTAL & CO., L.L.C.
April 17, 2000 - February 7, 2001
SEABOARD SECURITIES, 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
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
