Allan M. Edwards
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.
Allan Mitchell Edwards was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1973. Allan had worked at 8 firms and has passed the Series 63, Series 1, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2006 - May 16, 2007
AGES FINANCIAL SERVICES, LTD.
July 11, 1985 - February 28, 2005
MORGAN SCHIFF & CO.,INC.
February 11, 1985 - July 17, 1985
UBS FINANCIAL SERVICES INC.
September 21, 1981 - May 3, 1985
CIBC WORLD MARKETS CORP.
November 8, 1978 - October 6, 1981
LEHMAN BROTHERS INC.
August 18, 1976 - November 9, 1978
CIBC WORLD MARKETS CORP.
August 12, 1975 - September 6, 1976
BECKER SECURITIES INCORPORATED
March 21, 1974 - August 31, 1975
KIDDER, PEABODY & CO., INCORPORATED
July 26, 1973 - May 1, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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: 7/23/1973
Registered Representative ExaminationCurrent Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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