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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (8 years)BGLOBAL DIRECT EQUITIES, LLC (CRD# 124514)2014 - 2015 (<1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2010 - 2012 (2 years)BLEK SECURITIES CORPORATION (CRD# 33135)2003 - 2010 (7 years)BBBVA SECURITIES INC. (CRD# 27060)1997 - 2002 (4 years)BBT SECURITIES CORPORATION (CRD# 17790)1996 - 1997 (1 year)BJ.P. MORGAN SECURITIES INC. (CRD# 15733)1992 - 1996 (4 years)BBARING SECURITIES INC. (CRD# 5285)1987 - 1992 (4 years)BJAMES CAPEL SECURITIES INC. (CRD# 15390)1987 - 1987 (<1 year)
Disclosure(s)
View By:
8/4/2023
Customer Dispute
Pending
License(s)

State Registrations

B
Florida 6/24/2021
IA
New Jersey 10/12/2016
B
Georgia 12/7/2020
B
New York 12/9/2016
B
Maine 9/21/2017
B
North Carolina 5/18/2017
B
Massachusetts 12/9/2016
B
Ohio 6/11/2019
B
Minnesota 11/19/2024
B
Pennsylvania 8/17/2017
B
Nevada 6/12/2023
B
South Carolina 12/14/2020
B
New Hampshire 6/6/2019
B
Virginia 6/2/2020
B
New Jersey 8/9/2016
B
Washington 11/15/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
27 E MAIN ST, MENDHAM, NJ 07945-1538
Registered with this firm since 10/12/2016
B
EDWARD JONES (CRD#:250)
27 E MAIN ST, MENDHAM, NJ 07945-1538
Registered with this firm since 7/18/2016
Previous Registration(s)
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B
 06/19/2014 - 05/05/2015 GLOBAL DIRECT EQUITIES, LLC (CRD#:124514) NEW YORK, NY
B
 06/07/2010 - 11/19/2012 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) NEW YORK, NY
B
 04/28/2003 - 06/04/2010 LEK SECURITIES CORPORATION (CRD#:33135) NEW CITY, NY
B
 10/21/1997 - 05/01/2002 BBVA SECURITIES INC. (CRD#:27060) NEW YORK, NY
B
 04/10/1996 - 06/04/1997 BT SECURITIES CORPORATION (CRD#:17790) BALTIMORE, MD
B
 04/08/1992 - 04/16/1996 J.P. MORGAN SECURITIES INC. (CRD#:15733) NEW YORK, NY
B
 10/05/1987 - 03/31/1992 BARING SECURITIES INC. (CRD#:5285) NEW YORK, NY
B
 03/24/1987 - 09/03/1987 JAMES CAPEL SECURITIES INC. (CRD#:15390)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.