Steven J. 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.
Steven John Edwards was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1974. Steven had worked at 7 firms and has passed the Series 63, SIE, Series 7, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2005 - August 16, 2017
FINANCIAL WEST GROUP
October 15, 2002 - June 7, 2004
FINANCIAL WEST GROUP
July 31, 1993 - September 16, 1993
CITIGROUP GLOBAL MARKETS INC.
August 29, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
April 22, 1985 - August 30, 1989
UBS FINANCIAL SERVICES INC.
January 25, 1984 - April 30, 1985
SUTRO & CO. INCORPORATED
January 31, 1980 - January 27, 1984
UBS FINANCIAL SERVICES INC.
September 22, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 21, 1977 - October 26, 1977
CITIGROUP GLOBAL MARKETS INC.
September 5, 1974 - April 1, 1977
DEAN WITTER & CO. 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
PC
Date: 9/15/1977
AMEX Put and Call ExamSeries 1
Date: 8/27/1974
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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