Edward J. Wallick
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 John Wallick, who also goes by Ed Wallick, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1980. Edward had worked at 6 firms and has passed the Series 63, Series 7, Series 24 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
June 11, 1990 - August 16, 1994
FIRST ASSOCIATED SECURITIES GROUP, INC.
September 1, 1988 - May 1, 1990
ADAMS SECURITIES, INC.
February 8, 1988 - August 9, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
December 9, 1983 - February 10, 1988
PAULSON INVESTMENT COMPANY LLC
June 30, 1983 - November 22, 1983
A. G. EDWARDS & SONS, INC.
December 24, 1980 - July 1, 1983
HAMMERBECK AND COMPANY, INC.
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: 2/6/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
