Edward Cardwell Yegen

Current Employers

Employment History

• 06/1973 → Present
  Self Employed
  Rockville, MD
• 07/1990 → Present
  Yegen Financial Group, Ltd.
  Rockville, MD
• 04/1992 → Present
  Grand Resources, Ltd
  Rockville, MD
• 07/1998 → 08/2024
  Triad Advisors, Inc.
  Rockville, MD
• 08/2024 → Present
  Osaic Wealth, Inc.
  Rockville, MD

Other Businesses

1. VARIOUS FAMILY TRUST, LLC AND CORPS; NON-INVESTMENT RELATED; VARIOUS (MT, WY, MD); FARMING, OIL & GAS, TAX WORK; TRUSTEE; 3/1989; 40 HRS/MONTH;0 HRS DURING TRADING; COMP-NOT NORMALLY COMPENSATED; ALL AREAS OF FINANCE, DEALING WITH BANKS, SUPPLIERS AND ALL ASPECTS OF MANAGEMENT. 2. YEGEN FINANCIAL GROUP, LTD POS: PRES & SOLE SHAREHOLDER NATURE: SUB S CORP INVESTMENT RELATED: Yes # OF HRS: 60 SECURITIES TRADING HRS: 3 START DATE: 7/24/90 ADDY: Rockville MD 20852 DESCRIPT: responsible for all aspects of running a business including operational functions. As IA Rep, responsible for all aspects of the investment advisory work for the firm including working with clients, CCO, and other requirements of the RIA. 3. GRAND RESOURCES, LTD POS: PRES & SOLE SHAREHOLDER NATURE: SUB S CORP including Subsidiary Sub S Companies Lacey Bug Enterprises, LTD and T-Bird Enterprises, LTD INVESTMENT RELATED: No # OF HRS: 5 SECURITIES TRADING HRS: 0 START DATE: 4/4/92 ADDY: ROCKVILLE MD 20852 DESCRIPT: AS President and Sole shareholder I am responsible for all activities needed to operate and run a business. I handle all filings of reporting as required, all accounting functions and any other activity to run a business. There are no employees. I also discuss with any sub-contractors to complete any operations required by the oil production company. 4. LIFE INSURANCE AGENT WITH MULTIPLE CARRIERS AND DISABILITY CARRIERS POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/02/1973 ADDRESS: 11001 HUNTOVER DRIVE, Rockville MD 20852, United States DESCRIPTION: Life Insurance Agent - agent soliciting life insurance sales or disability sales with various insurance companies as needed by my clients 5. GO-TO-TOGA RACING, LLC POSITION: MANAGING MEMBER NATURE: SUB S CORPORATION INVESTMENT RELATED: No NUMBER OF HOURS: 42 SECURITIES TRADING HOURS: 0 START DATE: 07/17/2014 ADDY: Rockville MD 20852 DESCRIPT: GO-TO-TOGA RACING, LLC is a family horse racing stable owned by my wife, my wife's sister and me. Responsible for all operations activities required for a small business including accounting tax filings, licensing and any other items required to run a small business. There are no employees of the company. I also am involved with the trainers and any other activities of the business. 6. ECY TRUST POS: Family Trustee NATURE: FAMILY TRUST CREATED AT THE DEATH OF MY FATHER E C YEGEN INVESTMENT RELATED: No # OF HRS: 5 SECURITIES TRADING HRS: 0 START DATE: 03/11/2016 ADDRESS: LAS VEGAS NV 89135 DESCRIPT: I am the Family Trustee responsible for all of the investment activities, all accounting activities and any other responsibility to make sure all of the businesses function to the benefit of the beneficiaries. Not responsible for any distribution activities which are handled by the Independent Trustee ICON Trust. 7. ECY NONEX TRUST POSITION: FAMILY TRUSTEE NATURE: ECY NONEX TRUST IS A TRUST - IT DOES NOT OWN ANY OTHER BUSINESSES AND ONLY OWNS FINANCIAL ASSETS INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 3/11/16 ADDY: LAS VEGAS NV 89135 DESCRIPT: I am the Family Trustee responsible for all of the investment activities, all accounting activities and any other responsibility to make sure all of the businesses function to the benefit of the beneficiaries. I am not responsible for any distribution activities which are handled by the Independent Trustee ICON Trust. 8. ROSEBUD TRUST POSITION: Family Trustee NATURE: Family Trustee INVESTMENT RELATED: No # OF HRS: 3 SECURITIES TRADING HRS: 0 START DATE: 3/3/16 ADDY: LAS VEGAS NV 89135 DESCRIPT: I am the Family Trustee responsible for all of the investment activities, all accounting activities and any other responsibility to make sure all of the businesses function to the benefit of the beneficiaries. I am not responsible for any distribution activities which are handled by the Independent Trustee ICON Trust.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-05-05
• S63 Uniform Securities Agent State Law Examination
  1981-03-16

Designations

Other Names

• Wayo Yegen
• E C Yegen
• Yegen
• Yegen