J E. Anderson

LUCID CAPITAL MARKETS

New York, NY 10022

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CRD#: 1084169

Professional summary

J Eric Anderson is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

J is registered as a RR (Registered Representative) and started their career in finance in 1982. J has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 10, Series 9, Series 14, Series 53, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view J Eric Anderson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 3, 2025 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022

CRD#: 140345

New York, NY

Past

January 16, 2013 - October 28, 2024

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Past

April 13, 2012 - September 26, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

BOSTON, MA

Past

May 6, 2010 - October 25, 2010

GENUITY CAPITAL MARKETS USA CORP.

CRD#: 135674

TORONTO, ONTARIO,

Past

March 5, 1996 - January 17, 2013

CANACCORD GENUITY LLC

CRD#: 1020

BOSTON, MA

Past

January 18, 1995 - September 26, 1995

FOCUSED INVESTMENTS L.L.C.

CRD#: 37532

CHICAGO, IL

Past

July 11, 1987 - July 10, 1995

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

December 21, 1983 - June 8, 1987

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

Past

December 17, 1982 - August 23, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(2/3/2025)

New York
(2/17/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 2/3/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/29/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 14

Date: 10/25/1989

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 9/10/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/21/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 9/12/1984

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

J E. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view J Eric Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEERINK PARTNERS LLC

CANACCORD GENUITY SECURITIES LLC

GENUITY CAPITAL MARKETS USA CORP.

CANACCORD GENUITY LLC

FOCUSED INVESTMENTS L.L.C.

WINTRUST INVESTMENTS LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1999

Series 63

Date: 12/16/1982

Series 52TO

Date: 2/3/2025

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/29/2000

Series 7

Date: 12/17/1983

Series 6

Date: 12/16/1982

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 14

Date: 10/25/1989

Series 53

Date: 9/10/1987

Series 24

Date: 8/13/1987

Series 8

Date: 1/21/1986

Series 4

Date: 9/12/1984

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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