Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Edward? Claim Your ProfileEdward Tappan is an experienced financial professional with over 25 years of experience in the industry. Edward is a registered representative with Oppenheimer & Co. Inc., a leading financial services firm. Previously, Edward has held positions at firms such as Citigroup Global Markets Inc., Chase Securities Inc., and Gruntal & Co., L.L.C.. Edward holds several professional licenses and designations, including Series 6, 7, 10, 24, and 63. Edward offers a range of financial services, including financial planning, portfolio management, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
06/04/2009 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
01/24/2001 - 06/15/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/04/1999 - 12/21/2000
CHASE SECURITIES INC. (NEW YORK NY)
NY
11/06/1996 - 10/27/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NA
05/08/1996 - 10/28/1996
ALEX. BROWN & SONS INCORPORATED
IL
12/15/1994 - 01/11/1996
RODMAN & RENSHAW INC. (CHICAGO IL)
NA
05/03/1988 - 10/03/1988
EQUICO SECURITIES, INC.
NA
05/03/1988 - 10/03/1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
NA
06/12/1987 - 05/04/1988
NEW ENGLAND SECURITIES CORPORATION
BC
Issued 05/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/19/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1994
Series 7 - General Securities Representative Examination
BC
Issued 06/11/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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