Edward M. Davis
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.
Edward Morris Davis, who also goes by E Morris Davis, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1975. Edward had worked at 5 firms and has passed the Series 63, PC, Series 15, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2001 - January 2, 2013
PHILADELPHIA INVESTORS, LTD.
February 13, 1989 - April 20, 2001
JANNEY MONTGOMERY SCOTT LLC
May 14, 1988 - March 7, 1989
LEHMAN BROTHERS INC.
October 27, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
June 14, 1982 - October 8, 1986
LEHMAN BROTHERS INC.
January 23, 1979 - June 21, 1982
CITIGROUP GLOBAL MARKETS INC.
February 24, 1975 - February 9, 1979
JANNEY MONTGOMERY SCOTT LLC
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: 8/8/1987
AMEX Put and Call ExamSeries 15
Date: 7/25/1983
Foreign Currency Options ExaminationCurrent Firm
PHILADELPHIA INVESTORS, LTD.
CRD#: 23905 / SEC#: , 8-40805
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
