Joseph M. Edwards
Professional summary
Joseph Mark Edwards, who also goes by J. Mark Edwards, J Mark Edwards, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Great Neck, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2013. Joseph has worked at 3 firms and has passed the Series 63, Series 6TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Mark Edwards's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 111 Great Neck Rd., Great Neck, NY 11021February 24, 2015 - October 1, 2016
J.P. MORGAN CLEARING CORP.
November 19, 2013 - December 21, 2017
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/24/2021)
Exams
Series 6TO
Date: 2/23/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
