Edwin A. Buck
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.
Edwin Alfred Buck was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1981. Edwin had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6, Series 22, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2011 - December 2, 2019
SPC
August 2, 2011 - December 2, 2019
PARKLAND SECURITIES, LLC
February 20, 2007 - August 16, 2011
GROVE POINT INVESTMENTS, LLC
April 19, 2001 - August 16, 2011
GROVE POINT INVESTMENTS, LLC
April 22, 1992 - April 20, 2001
IFG NETWORK SECURITIES, INC.
December 17, 1988 - May 20, 1992
DERAND/PENNINGTON/BASS, INC.
June 3, 1981 - December 20, 1988
E. A. BUCK CO., INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 62
Date: 12/15/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
