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Erwin Allen Porges

CRD# 1222183·Registered 1983 - 1998
Previously Registered: Being a previously registered professional could mean that Erwin 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.

Professional Summary

Erwin Allen Porges, who also goes by Erwin Allan Porges, was a registered financial advisor. Erwin was a previously registered financial professional and started their career in finance 1983 - 1998. Erwin had worked at 12 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Erwin Allan Porges

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

SCHONFELD SECURITIES, LLC·CRD# 23304
BD
Jericho, NY
June 29, 1998 - July 10, 1998
ON-SITE TRADING, INC.·CRD# 30271
BD
Great Neck, NY
October 15, 1996 - June 5, 1998
INSTITUTIONAL EQUITY CORPORATION·CRD# 19628
BD
Dallas, TX
January 2, 1996 - October 9, 1996
GOLDIS FINANCIAL GROUP, INC.·CRD# 16444
BD
Garden City, NY
December 22, 1994 - June 6, 1995
BRENNER SECURITIES CORPORATION·CRD# 26973
BD
August 26, 1994 - November 11, 1994
DUNHILL EQUITIES, INC.·CRD# 21822
BD
Garden City, NY
August 17, 1990 - July 7, 1994
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
March 15, 1989 - August 14, 1990
MORGAN STANLEY DW INC.·CRD# 7556
BD
March 17, 1988 - March 7, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
October 27, 1987 - February 12, 1988
LEHMAN BROTHERS INC.·CRD# 7506
BD
August 7, 1985 - October 5, 1987
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
April 4, 1984 - August 29, 1985
DRAYER KELLY & CO. INC.·CRD# 7520
BD
December 21, 1983 - June 4, 1988

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Current Firm

SS
SCHONFELD SECURITIES, LLC

SCHONFELD SECURITIES INC. | SCHONFELD SECURITIES, LLC

CRD#: 23304 / SEC#: 8-40148
BD
Terminated by SEC on 01/03/2010

Contact Information

Established

New York since 11/21/1995

Firm Type

Limited Liability Company

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
SCHONFELD GROUP HOLDINGS, LLCMEMBER - CLASS A MEMBER—
AVANTARIO, JOSEPH RALPHCFO, COO2253805
CAFFREY, MARGARET MCEO3162488
PECKMAN, MARK HARRYGENERAL COUNSEL3264967
WILSON, MICHAEL JAMESCHIEF COMPLIANCE OFFICER2446305

Disclosures

Regulatory Event

19

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1983About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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