Stephen N. Edmonds
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.
Stephen Norman Edmonds, who also goes by Stephen N Edmonds, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1969. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 1 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
August 30, 2013 - January 23, 2024
EDMONDS DUNCAN REGISTERED INVESTMENT ADVISORS, LLC
August 30, 2013 - December 31, 2015
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - September 6, 2013
MORGAN STANLEY
June 1, 2009 - September 6, 2013
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
April 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
May 18, 2000 - April 26, 2005
ROBERT W. BAIRD & CO. INCORPORATED
October 8, 1999 - April 26, 2005
ROBERT W. BAIRD & CO. INCORPORATED
March 16, 1988 - October 28, 1999
PIPER SANDLER & CO.
May 19, 1978 - April 9, 1988
KIDDER, PEABODY & CO. INCORPORATED
September 4, 1969 - May 19, 1978
H.O. PEET & CO., 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
PC
Date: 6/28/1977
AMEX Put and Call ExamSeries 1
Date: 4/29/1969
Registered Representative ExaminationSeries 8
Date: 8/24/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDMONDS DUNCAN REGISTERED INVESTMENT ADVISORS, LLC
CRD#: 168246 / SEC#: 801-78373
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,242 |
| AUM (Assets Under Management) | $ 440,511,126 |
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.
