Eric C. Pietranton
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.
Eric Constantine Pietranton, who also goes by Eric C Pietranton, Ric Pietranton, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1985. Eric had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 1991 - July 17, 1991
CAPITAL BROKERAGE CORPORATION
May 26, 1989 - October 1, 1990
THE ADVISORS GROUP, INC.
October 8, 1987 - January 23, 1988
MML INVESTORS SERVICES, LLC
November 21, 1986 - October 12, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 1985 - November 17, 1986
FORESTERS 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
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
