Haley I. Edwards
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.
Haley I Edwards, who also goes by Haley K Edwards, Haley K Isdell, Haley Kristen Isdell, Haley I Smith, Haley Isdell Smith, Haley Smith, was a registered financial professional .
Haley is a previously registered financial professional and started their career in finance in 2001. Haley had worked at 5 firms and has passed the Series 63 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
February 20, 2009 - March 29, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 10, 2008 - June 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2005 - November 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 25, 2001 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
March 30, 2001 - May 22, 2001
STERNE, AGEE & LEACH, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
