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EL

Edward C. Larkin

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CRD#: 707684
EL

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 Colby Larkin was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1980. Edward had worked at 9 firms and has passed the Series 63, SIE, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 21, 2014 - June 6, 2017

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

September 12, 2011 - May 20, 2014

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
HIGHLANDS RANCH, CO
Past

May 2, 2002 - July 29, 2011

GVC CAPITAL LLC

BD
CRD#: 38923
GREENWOOD VILLAGE, CO
Past

January 7, 2002 - March 26, 2002

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

March 24, 2000 - January 3, 2002

SCHIELD SECURITIES LLC

BD
CRD#: 36769
LITTLETON, CO
Past

January 29, 1998 - December 11, 1998

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

January 11, 1988 - December 17, 1997

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

December 17, 1986 - January 11, 1988

RCL NORTHWEST, INC.

BD
CRD#: 14101
Past

November 18, 1981 - December 15, 1986

WALL STREET WEST, INC.

BD
CRD#: 7529
Past

October 21, 1980 - October 6, 1981

INTERNATIONAL SECURITIES, INC.

BD
CRD#: 7051
Past

April 25, 1980 - November 10, 1980

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 7619

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2017
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/25/1991
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/18/1980
General Securities Principal Examination

Current Firm

SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures

Regulatory Event18
Arbitration2

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.

Company Information

SPENCER EDWARDS, INC.

CRD#: 22067

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