Category Archives: Essex National Securities

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL

September 21,  2015- Cape Coral, Florida

Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009 to April 2014 Roos engaged in an outside business activities  (RFG Payment Advances & 1617 Santa Barbara Blvd.) without providing written notice or obtaining approval from the firms he worked for in violation of NASD and FINRA Rules.

AWC No.2014041312701

Roos  was fined $1,000 and suspended from association with any FINRA member for two months.

According to FINRA records, Roos  was registered with LPL Financial from 4/2011-5/2014 and prior to that with Essex National Securities from 3/2010-3/2011. He is currently registered with Calton & Associates.

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