Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that former Florida-based Newbridge Securities broker/adviser Edward Klug, who is currently not affiliated with any broker-dealer firm, has received a customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Klug (CRD# 1412221).
Edward Klug has spent 32 years in the securities industry and was most recently registered with Newbridge Securities Corporation in Boca Raton, Florida (2016-2018). Previous registrations include Investacorp in Appleton, Wisconsin (2014-2016); SII Investments in Appleton, Wisconsin (2010-2014); Stifel Nicolaus & Company in Kimberly, Wisconsin (1998-2010); Robert W. Baird & Company in Milwaukee, Wisconsin (1991-1998); Edward D. Jones & Company in St. Louis, Missouri (1990-1991); AG Edwards & Sons in St. Louis, Missouri (1989-1990); and Edward D. Jones & Company in St. Louis, Missouri (1985-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1985; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 16, 1999. He is currently not registered with any state or firm.
According to his BrokerCheck report, Edward Klug has received one customer complaint and five unsatisfied tax liens.