Edward L. Pope
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 Lee Pope III, who also goes by Edward Lee Pope, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1976. Edward had worked at 5 firms and has passed the Series 63, Series 5, PC, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2001 - December 31, 2002
MIDSOUTH CAPITAL, INC.
January 23, 1995 - January 3, 2001
CARTER, TERRY & COMPANY, INC.
July 31, 1993 - January 18, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
September 1, 1976 - February 15, 1988
E. F. HUTTON & COMPANY INC
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 5
Date: 10/26/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamCurrent Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
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.
