Eric Swain
Professional summary
Eric Swain, who also goes by Eric Berman, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1985. Eric has worked at 17 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Swain's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2020 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601June 18, 2019 - March 4, 2020
SUTTER CAPITAL PARTNERS, LLC
July 17, 2018 - March 4, 2020
BOUSTEAD SECURITIES, LLC
November 15, 2017 - July 12, 2018
AEON CAPITAL INC
September 9, 2016 - January 18, 2019
DOUBLE DIAMOND INVESTMENT GROUP, LLC
November 13, 2013 - September 4, 2014
B. RILEY WEALTH MANAGEMENT
November 12, 2013 - September 4, 2014
B. RILEY WEALTH MANAGEMENT
May 3, 2012 - February 27, 2013
ALLIANCEBERNSTEIN L.P.
January 10, 2012 - February 27, 2013
SANFORD C. BERNSTEIN & CO., LLC
March 11, 2011 - December 22, 2011
XNERGY FINANCIAL LLC
October 6, 2010 - December 2, 2010
SECURITIES AMERICA, INC.
April 2, 2007 - October 17, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 17, 2008
MORGAN STANLEY & CO. LLC
May 5, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 5, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 10, 2004 - May 20, 2006
CITIGROUP GLOBAL MARKETS INC.
August 16, 2000 - May 20, 2006
CITIGROUP GLOBAL MARKETS INC.
September 8, 1999 - August 23, 2000
J.P. MORGAN SECURITIES LLC
March 13, 1989 - September 3, 1999
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 1, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
March 19, 1985 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/10/2020)
(3/11/2020)
(3/17/2020)
Exams
FINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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