Edgardo C. Derbes
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.
Edgardo C Derbes, who also goes by Ed C Derbes, Edgardo C. Derbes Jr., Edgardo Derbes, Medina, was a registered financial professional .
Edgardo is a previously registered financial professional and started their career in finance in 2006. Edgardo had worked at 4 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
July 17, 2013 - October 8, 2015
E1 ASSET MANAGEMENT, INC.
March 6, 2009 - February 6, 2012
FIRST GEORGETOWN SECURITIES, INC.
June 6, 2007 - August 30, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2006 - November 1, 2006
SPENCER CLARKE LLC
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
E1 ASSET MANAGEMENT, INC.
CRD#: 46872 / SEC#: , 8-51573
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITIN, RON YEHUDA | PRESIDENT/DIRECTOR/CCO/FINOP | 2344151 |
Disclosures
| Regulatory Event | 7 |
| 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.
