Edmund Viray
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.
Edmund Viray was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 2006. Edmund had worked at 3 firms and has passed the Series 66, SIE, Series 50 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
April 15, 2008 - July 31, 2017
WULFF, HANSEN & CO.
August 1, 2006 - April 18, 2008
REDWOOD SECURITIES GROUP, INC.
August 1, 2006 - April 18, 2008
REDWOOD SECURITIES GROUP, INC.
February 27, 2006 - July 14, 2006
UBS FINANCIAL SERVICES INC.
February 9, 2006 - July 14, 2006
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
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
WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 132,528,477 |
Disclosures
| Regulatory Event | 4 |
| Bond | 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.
