Edward F. Pellegrini
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 Francis Pellegrini was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 8 firms and has passed the Series 63, Series 7, Series 3 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
October 2, 2002 - August 30, 2005
SANDERS MORRIS LLC
August 14, 2000 - January 23, 2002
UBS FINANCIAL SERVICES INC.
March 30, 1999 - August 14, 2000
J.C. BRADFORD & CO.
May 11, 1998 - April 9, 1999
WELLS FARGO CLEARING SERVICES, LLC
June 8, 1995 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
August 9, 1993 - June 15, 1995
CITIGROUP GLOBAL MARKETS INC.
August 11, 1992 - August 11, 1993
RAUSCHER PIERCE REFSNES, INC.
November 21, 1989 - September 11, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1986 - June 22, 1987
CITIGROUP GLOBAL MARKETS INC.
August 24, 1983 - June 11, 1986
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
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 1
Date: 2/4/1980
Registered Representative ExaminationCurrent Firm
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| MANGOLD, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF EXECUTIVE OFFICER | 2359974 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 991,714,376 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
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.
