Burton J. Esrig
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.
Burton J Esrig was a registered financial professional .
Burton is a previously registered financial professional and started their career in finance in 1984. Burton had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 8 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
November 20, 2003 - August 27, 2012
FOCUSPOINT PRIVATE CAPITAL GROUP
December 1, 2000 - June 26, 2002
UBS SECURITIES LLC
July 25, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
September 25, 1984 - December 1, 2000
UBS FINANCIAL SERVICES 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
Series 8
Date: 6/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOCUSPOINT PRIVATE CAPITAL GROUP
CRD#: 122341 / SEC#: , 8-65488
Contact information
FINRA licenses (51 States and Territories)
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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