EY
Edward C. Yegen
YEGEN FINANCIAL GROUP, LTD
Rockville, MD
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CRD#: 801074
EY
Professional summary
Edward Cardwell Yegen JR, CFP®, who also goes by E C Yegen Jr, Wayo Yegen, Yegen Jr, Yegen, is a registered financial advisor currently at YEGEN FINANCIAL GROUP, LTD located in Rockville, Maryland and OSAIC WEALTH, INC. located in Rockville, Maryland.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Edward has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
E C Yegen Jr | Wayo Yegen | Yegen Jr | Yegen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1-LIFE INSURANCE AGENT WITH MULTIPLE CARRIERS; NON-INVESTMENT RELATED; 11001 HUNTOVER DR. ROCKVILLE, MD 20852; LIFE INSURANCE AGENT; AGENT; 6/1973; 1 HR/MONTH;0 HRS DURING TRADING; COMPENSATION-COMMISSIONS OF POLICIES SOLD; AGENT SOLICITING LIFE INSURANCE SALES. 2-GRAND RESOURCES LTD; NON-INVESTMENT RELATED; 11001 HUNTOVER DR. ROCKVILLE, MD 20852; OIL AND GAS PRODUCTION; PRESIDENT- SOLE SHARE HOLDER; 4/1992; 5 HRS/MONTH;0 HRS DURING TRADING; COMPENSATION-ALL PROFITS/LOSSES ANNUALLY; MANAGE ALL ASPECTS OF THIS OIL AND GAS PRODUCTION COMPANY. 3-YEGEN FINANCIAL GROUP LTD; INVESTMENT RELATED; 11001 HUNTOVER DR. ROCKVILLE, MD 20852; RIA; PRESIDENT; 7/1990; 60 HRS/MONTH;3 HRS DURING TRADING; COMPENSATION-SALARY (1/2 OF PROFITS); INVESTMENT ADVISOR, BUSINESS CONSULTANT, TAX CONSULTANT. 4-VARIOUS FAMILY TRUST, LLC AND CORPS; NON-INVESTMENT RELATED; VARIOUS (MT, WY, MD); FARMING, OIL & GAS, TAX WORK; TRUSTEE; 3/1989; 40 HRS/MONTH;0 HRS DURING TRADING; COMPENSATION-NOT NORMALLY COMPENSATED; ALL AREAS OF FINANCE, DEALING WITH BANKS, SUPPLIERS AND ALL ASPECTS OF MANAGEMENT. 5)GO-TO-TOGA-RACING, LLC;NOT INVESTMENT RELATED;11001 HUNTOVER DR,ROCKVILLE,MD 20852;HORSE RACING STABLE;MEMBER;6/26/2015;42 HRS/MONTH;0 HRS DURING TRADING;MANAGE A HORSE RACING STABLE WITH WIFE AND SISTER IN LAW
CRS (Client Relationship Summary) - RIA
Click below to view Edward Cardwell Yegen JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 24, 2022 - Present
YEGEN FINANCIAL GROUP, LTD
RIA
CRD#: 121580
Rockville, MD
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 11001 Huntover Drive, Rockville, MD 20852RIA
BD
CRD#: 23131
ROCKVILLE, MD
Past
July 2, 1998 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
ROCKVILLE, MD
Past
January 31, 1997 - July 8, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 7, 1989 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
November 25, 1974 - February 8, 1989
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/23/2024)
RR
Arizona(8/23/2024)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Delaware(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Kentucky(8/23/2024)
RR
Louisiana(8/23/2024)
RR
Maine(8/23/2024)
IAR
Maryland(3/24/2022)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Missouri(8/23/2024)
RR
Montana(8/23/2024)
RR
Nevada(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Pennsylvania(8/23/2024)
RR
Rhode Island(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Texas(8/23/2024)
RR
Utah(8/23/2024)
RR
Virginia(8/23/2024)
RR
Wyoming(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/12/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
YF
YEGEN FINANCIAL GROUP, LTD
YEGEN FINANCIAL GROUP, LTD
CRD#: 121580 / SEC#:
Maryland
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Contact information
Main Address
Rockville, MD
Mailing Address
Phone number
(301) 230-1500
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,554,921 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
