Edward C. Saunders
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 Charles Saunders, who also goes by Edward Szerszynski, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1979. Edward had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2012 - December 31, 2014
WELLINGTON SHIELDS & CO., LLC
April 11, 2011 - February 14, 2012
CAPSTONE INVESTMENTS
October 20, 2003 - May 15, 2009
SOLEIL SECURITIES CORPORATION
March 12, 2001 - September 2, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
September 25, 1996 - February 23, 2001
KEYBANC CAPITAL MARKETS INC.
March 11, 1996 - September 13, 1996
MESIROW FINANCIAL, INC.
November 6, 1995 - March 22, 1996
ORMES CAPITAL MARKETS, INC.
June 2, 1993 - December 12, 1994
NOMURA SECURITIES INTERNATIONAL, INC.
April 15, 1991 - June 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 26, 1989 - May 20, 1991
CIBC WORLD MARKETS CORP.
November 28, 1988 - July 18, 1989
CITIGROUP GLOBAL MARKETS INC.
December 22, 1986 - December 7, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
January 17, 1986 - May 13, 1987
E. F. HUTTON & COMPANY INC
July 10, 1985 - December 11, 1985
KIDDER, PEABODY & CO. INCORPORATED
December 16, 1981 - July 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1979 - February 1, 1982
SALOMON BROTHERS INC.
Primary Firm SEC Registration
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
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 8
Date: 8/20/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON SHIELDS HOLDINGS, LLC | OWNER | |
| CEMBROLA, JOSEPH NICHOLAS | MEMBER OPERATIONS | 2310761 |
| CURCURU, PHILIP MICHAEL | CFO/COO | 4170350 |
| GRANT, THOMAS WATERS | MANAGING MEMBER | 227594 |
| GULDEN, PAUL IMMO JR | MANAGING MEMBER | 231863 |
| MARCH, EDWARD KENNETH | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | 2100535 |
| MCFADDEN, WILLIAM JAMESON | CEO | 5337971 |
| PORTAS, STEPHEN JOHN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 2482930 |
| SHADEK, LAURENCE ARTHUR | MANAGING MEMBER/SECY | 419483 |
| SHIELDS, DAVID VINCENT | CHAIRMAN/MANAGING MEMBER | 1072810 |
| SPERRY, MARK PORTER | MEMBER | 1330909 |
Regulatory assets under management
| Total Number of Accounts | 524 |
| AUM (Assets Under Management) | $ 470,890,341 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/29/2025 | ||
| 08/29/2024 | ||
| 11/22/2023 | ||
| 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.
