Eric Yergan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Yergan was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1982. Eric had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2013 - December 31, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 14, 2013 - December 31, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 30, 2012 - November 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2012 - November 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2002 - September 22, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 20, 1994 - March 27, 1998
PERSHING LLC
September 4, 1984 - April 28, 1994
UBS FINANCIAL SERVICES INC.
November 24, 1982 - September 28, 1984
BECKER PARIBAS INCORPORATED
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 9/30/1982
Interest Rate Options ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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