Edward M. Commons
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 Milton Commons JR was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1980. Edward had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2006 - February 13, 2023
CROWN CAPITAL SECURITIES, L.P.
January 3, 2001 - February 13, 2023
CROWN CAPITAL SECURITIES, L.P.
June 18, 1989 - December 31, 2000
SUNAMERICA SECURITIES, INC.
May 23, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
April 28, 1988 - June 14, 1988
ASSOCIATED SECURITIES CORP.
August 25, 1987 - June 15, 1988
WOODBURY FINANCIAL SERVICES, INC.
October 14, 1986 - August 22, 1987
T.L. HILL SECURITIES, INC.
May 15, 1985 - June 20, 1988
BMA FINANCIAL SERVICES, INC.
August 18, 1983 - April 19, 1985
INVESTORS BROKERAGE SERVICES, INC.
September 17, 1981 - July 1, 1983
HUCKIN FINANCIAL GROUP, INC.
October 30, 1980 - August 29, 1981
THE VARIABLE ANNUITY MARKETING COMPANY
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: 10/7/1980
Registered Representative ExaminationSeries 2
Date: 1/2/1979
Non-Member General Securities ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
