Edward Small
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 Small JR was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2002. Edward had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - July 11, 2016
DB ADVISORS
November 12, 2009 - November 3, 2010
LOWELL & COMPANY, INC.
January 23, 2009 - August 26, 2009
WORTH FINANCIAL GROUP INC.
February 15, 2008 - December 12, 2008
FORESTERS EQUITY SERVICES, INC.
February 2, 2007 - February 7, 2008
DB ADVISORS
May 17, 2005 - February 8, 2006
LEGACY FINANCIAL SERVICES, INC.
May 11, 2005 - December 31, 2005
LEGACY ADVISORY SERVICES, INC.
May 20, 2003 - May 22, 2003
EQUITABLE ADVISORS, LLC
February 7, 2003 - May 22, 2003
EQUITABLE ADVISORS, LLC
July 22, 2002 - October 10, 2002
FORESTERS EQUITY SERVICES, INC.
April 8, 2002 - June 10, 2002
NATIONAL PLANNING CORPORATION
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
DB ADVISORS
CRD#: 134485 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 45,387,813 |
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.
