Bert E. 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.
Bert Elvin Edwards was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1976. Bert had worked at 15 firms and has passed the Series 63, SIE, Series 55 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
June 5, 2017 - August 24, 2018
DINOSAUR FINANCIAL GROUP, L.L.C
February 2, 2016 - January 3, 2017
SEIDEL & CO., LLC
February 11, 2014 - July 9, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
July 16, 2013 - February 4, 2014
HARTFIELD, TITUS & DONNELLY, LLC
August 1, 2012 - March 27, 2013
FIRST BROKERS SECURITIES LLC
November 22, 2010 - July 16, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
March 22, 2010 - November 17, 2010
CAROLINA CAPITAL MARKETS, INC.
March 20, 2007 - March 18, 2010
CHAPDELAINE TULLETT PREBON, LLC
April 3, 1996 - March 19, 2007
W.A. CAPITAL MARKETS
December 11, 1995 - April 3, 1996
MINT BROKERS
November 30, 1995 - April 3, 1996
CANTOR FITZGERALD SECURITIES
April 19, 1994 - November 29, 1995
RAUSCHER PIERCE REFSNES, INC.
July 17, 1992 - April 19, 1994
WELLS FARGO CLEARING SERVICES, LLC
October 2, 1989 - October 24, 1989
CANTOR FITZGERALD SECURITIES
October 2, 1989 - July 6, 1992
MINT BROKERS
July 18, 1985 - October 3, 1989
GINTELCO, INC.
August 25, 1976 - June 29, 1985
GINTEL & CO., 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
Series 55
Date: 9/4/2008
Limited Representative-Equity Trader ExamCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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