Edward John Nofer Iii
Professional Summary
Edward John Nofer III, who also goes by Edward John Nofer, was a registered financial advisor. Edward was a previously registered financial professional and started their career in finance 1983 - 1988. Edward had worked at 2 firms and has passed the Series 15, Series 3, PC, Series 000, Series 1, Series 40, Series 4 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Edward John Nofer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
LEHMAN BROTHERS | SHEARSON/AMERICAN EXPRESS INC. | SHEARSON LOEB RHOADES INC. | SHEARSON LEHMAN/AMERICAN EXPRESS INC. | SHEARSON LEHMAN HUTTON INC. | SHEARSON LEHMAN BROTHERS INC. | LEHMAN BROTHERS, INC. | LEHMAN BROTHERS MARKET MAKERS | LEHMAN BROTHERS INC.
Contact Information
Established
Delaware since 01/21/1965Firm Type
CorporationFiscal Year End
NovemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | — |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
Regulatory Event
359Civil Event
1Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Jan 1984PC — AMEX Put and Call Exam
Passed May 1983Series 000 — General Securities Principal Examination
Passed Mar 1967Series 1 — Registered Representative Examination
Passed Mar 1967Series 40 — Registered Principal Examination
Passed Apr 1978Series 12 — NYSE Branch Manager Examination
Passed Jun 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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