Edward J. Adams
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 Joseph Adams was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2003. Edward had worked at 5 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
March 11, 2013 - December 4, 2018
PTS BROKERAGE, LLC
February 22, 2010 - February 24, 2011
OSAIC FA, INC.
June 28, 2005 - March 3, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
December 15, 2003 - March 8, 2005
COUNTRYWIDE SECURITIES CORPORATION
November 26, 2003 - January 13, 2004
QUEST CAPITAL STRATEGIES, 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
PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
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.
