Frederick A. 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.
Frederick Arthur Edwards III, who also goes by Frederick Arthur Edwards, Frederick Edwards, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2005. Frederick had worked at 9 firms and has passed the Series 66, Series 57TO, Series 31, SIE, Series 55, Series 7, Series 21, Series 25, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2022 - June 11, 2026
NEUBERGER BERMAN BD LLC
April 5, 2022 - June 11, 2026
NEUBERGER BERMAN BD LLC
January 21, 2016 - April 5, 2022
PROFUNDS DISTRIBUTORS, INC.
July 1, 2014 - January 19, 2016
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
June 17, 2014 - January 19, 2016
NYLIFE DISTRIBUTORS LLC
July 1, 2013 - October 31, 2013
VIRTU AMERICAS LLC
April 15, 2010 - July 1, 2013
GETCO SECURITIES, LLC
January 25, 2010 - April 14, 2010
BARCLAYS CAPITAL INC.
September 26, 2005 - January 27, 2010
LABRANCHE & CO. LLC
July 15, 2005 - September 2, 2005
LABRANCHE & CO. LLC
January 12, 2005 - June 24, 2005
JOHN NISLER, SOLE PROPRIETOR
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/21/2010
Limited Representative-Equity Trader ExamSeries 21
Date: 8/15/2006
NYSE Front Line Specialist ClerkSeries 25
Date: 2/2/2006
NYSE Trading Assistant ExaminationCurrent Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| 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.
