Edward J. Surrette
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 John Surrette was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2007. Edward had worked at 8 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
August 25, 2015 - October 9, 2015
ROTHSCHILD LIEBERMAN LLC
October 14, 2014 - August 18, 2015
PHX FINANCIAL, INC.
July 27, 2012 - November 7, 2012
ROCKWELL GLOBAL CAPITAL LLC
March 7, 2012 - May 1, 2012
BENJAMIN SECURITIES, INC.
September 7, 2010 - June 22, 2011
BROOKSTONE SECURITIES, INC.
April 27, 2010 - September 1, 2010
EKN FINANCIAL SERVICES INC.
August 28, 2009 - May 4, 2010
ITRADEDIRECT.COM CORP
March 11, 2008 - August 10, 2009
JHS CAPITAL ADVISORS, LLC
June 20, 2007 - April 11, 2008
ITRADEDIRECT.COM CORP
State Registrations and Notice Filings
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Exams
Current Firm
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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