Craig S. Eckes
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.
Craig Stephen Eckes was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1989. Craig had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2005 - June 27, 2014
NATWEST MARKETS SECURITIES INC.
October 24, 2002 - June 22, 2005
CREDIT SUISSE SECURITIES (USA) LLC
June 20, 2001 - October 24, 2002
UBS SECURITIES LLC
August 19, 1998 - June 14, 2001
J.P. MORGAN SECURITIES LLC
June 10, 1996 - July 6, 1998
NATWEST MARKETS SECURITIES INC.
January 24, 1996 - June 24, 1996
HANOVER CAPITAL SECURITIES INC.
March 27, 1995 - April 26, 1995
MERIT CAPITAL ASSOCIATES, INC.
July 13, 1989 - March 30, 1994
LEHMAN SPECIAL SECURITIES INC.
July 13, 1989 - March 30, 1994
LEHMAN GOVERNMENT SECURITIES INC.
May 23, 1989 - March 30, 1994
LEHMAN BROTHERS INC.
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
Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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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