Edward J. Cusick
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 Cusick, who also goes by Ed Cusick, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1972. Edward had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2010 - January 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 2010 - January 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2006 - August 18, 2010
JANNEY MONTGOMERY SCOTT LLC
August 23, 2000 - August 18, 2010
JANNEY MONTGOMERY SCOTT LLC
August 18, 2000 - December 31, 2005
JANNEY MONTGOMERY SCOTT LLC
December 9, 1994 - August 30, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 15, 1990 - December 21, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1988 - March 4, 1988
LEHMAN BROTHERS INC.
February 2, 1988 - February 27, 1990
MORGAN STANLEY DW INC.
March 10, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 27, 1972 - April 13, 1987
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 1972 - April 29, 1987
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/22/1972
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
