Edward M. Proulx
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 Michael Proulx, who also goes by Ed Proulx, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2001. Edward had worked at 8 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - March 5, 2020
SOUTHSTATE ADVISORY, INC.
December 12, 2005 - February 15, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
December 12, 2005 - February 15, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
September 19, 2005 - August 20, 2009
AMERICAN PENSIONS, INC.
August 4, 2004 - November 17, 2005
WOODBURY FINANCIAL SERVICES, INC.
April 23, 2003 - January 16, 2004
CITIGROUP GLOBAL MARKETS INC.
April 23, 2003 - January 16, 2004
CITIGROUP GLOBAL MARKETS INC.
March 4, 2003 - March 24, 2003
CETERA INVESTMENT SERVICES LLC
March 4, 2003 - March 24, 2003
CETERA INVESTMENT SERVICES LLC
June 17, 2002 - March 6, 2003
NATIONAL PLANNING CORPORATION
May 17, 2002 - March 6, 2003
NATIONAL PLANNING CORPORATION
May 16, 2001 - April 5, 2002
INVESMART SECURITIES, LLC
Primary Firm SEC Registration
SOUTHSTATE ADVISORY, INC.
CRD#: 153113 / SEC#: 801-71264
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
SOUTHSTATE ADVISORY, INC.
CRD#: 153113 / SEC#: 801-71264
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 441 |
| AUM (Assets Under Management) | $ 3,783,729,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 01/26/2024 | ||
| 03/30/2023 |
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.
