Edward J. Hines
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 James Hines III, who also goes by Edward J Hines III, Edward J Hines, Ted James Hines, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2006. Edward had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
May 21, 2013 - July 7, 2015
PARETO SECURITIES INC.
September 7, 2011 - October 1, 2012
GLOBAL HUNTER SECURITIES, LLC
March 31, 2011 - September 7, 2011
CRT CAPITAL GROUP LLC
December 2, 2009 - February 17, 2011
CHAPDELAINE TULLETT PREBON, LLC
February 18, 2009 - December 2, 2009
R.W.PRESSPRICH & CO.
June 17, 2008 - February 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2006 - February 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 8/28/2014
Limited Representative-Equity Trader ExamCurrent Firm
PARETO SECURITIES INC.
CRD#: 44734 / SEC#: , 8-50796
Contact information
FINRA licenses (24 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARETO SECURITIES AS | STOCKHOLDER | |
| ALFHEIM, NIKLAS REINHOLD | HEAD OF FIXED INCOME SALES | 7593087 |
| DUHONJ, BORJAN NMN | HEAD OF EQUITY SALES & TRADING | 6869523 |
| HAAVALDSEN, EIRIK NMN | DIRECTOR | 7644368 |
| JOMAAS, CHRISTIAN NMN | DIRECTOR | 7182355 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| SPAVENTA, ANTONELLA NMN | CEO, POO & CHIEF COMPLIANCE OFFICER | 4441100 |
| ULLNER, KARL HENRIK | REGISTERED PRINCIPAL | 2860967 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
