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CE

Charles R. Eick

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CRD#: 1289640
CE

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.

Charles Robert Eick JR, who also goes by (jr) Charles Robert Eick, Bob Eick, Charles Robert Eick Jr., was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

(jr) Charles Robert Eick | Bob Eick | Charles Robert Eick Jr.

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)

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

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

Past

July 16, 2009 - September 17, 2014

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

May 21, 1993 - June 11, 2009

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
GREENWICH, CT
Past

September 25, 1984 - April 2, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2011
General Securities Principal Examination

Current Firm

CC
CRT CAPITAL GROUP LLC
CREDIT RESEARCH AND TRADING CORP. | STERNE AGEE CRT | CRT CAPITAL GROUP LLC | CREDIT RESEARCH AND TRADING LLC

CRD#: 28830 / SEC#: , 8-43940

BD
Terminated by SEC on 11/29/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/31/1993
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CRT GREENWICH LLCPARENT COMPANY
KALISH, GEOFFREY ORINBOARD CHAIRMAN OF PARENT COMPANY AND CCO
NIELSEN, JOHN DAVIDGENERAL COUNSEL5889411
TUITE, ROBERT KEVINCHIEF FINANCIAL OFFICER AND FINOP2862493

Disclosures

Regulatory Event13

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.

Company Information

CRT CAPITAL GROUP LLC

CRD#: 28830

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