Edward J. Vickers
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 Jerome Vickers was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1966. Edward had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2000 - December 13, 2019
UPHOLD SECURITIES INC.
December 19, 1988 - June 25, 1998
UBS SECURITIES LLC
June 14, 1983 - December 22, 1988
CREDIT SUISSE SECURITIES (USA) LLC
May 5, 1977 - March 16, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 10, 1974 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
July 23, 1974 - December 13, 1974
DELAFIELD CHILDS & CO
July 2, 1973 - May 22, 1974
DUPONT WALSTON, INCORPORATED
September 16, 1966 - July 2, 1973
DUPONT GLORE FURGAN & CO
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
Series 1
Date: 1/17/1961
Registered Representative ExaminationSeries 12
Date: 8/12/1974
NYSE Branch Manager ExaminationCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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